The Personal Investment Management & Financial Advice Association (PIMFA)

Dictionary

Login Home
Filter by Topics

Consumer Duty

Consumer Duty requires firms to act in the best interests of customers, ensuring fair outcomes and clear communication.

Visit the Consumer Duty dedicated microsite on this topic

Call of Duty: How putting customers front and centre will help industry innovate – Speech Summary

Download here a Speech Summary of The Financial Conduct Authority’s (FCA) Executive Director, Sheldon Mills (Consumers and Competition) speech on the Consumer Duty, 'Call of Duty: How putting customers front and centre will help industry innovate', focusing on innovation, the areas that will have the greatest impact on consumer outcomes and thanking firms for their efforts on compliance

Shared Type: Shared Public
Published: February 24, 2023

PIMFA response to FCA CP21/36: A New Consumer Duty

Paper Type: PIMFA Response Papers
Recipients: Financial Conduct Authority (FCA)
Month Published: February 6, 2023

Consumer Duty – What it is and how worried should I be?

Download here an article from the PIMFA Autumn Journal 2022, Consumer Duty - What Is It And How Worried Should I Be?, contributed by Investor In Customers and examining why the new Consumer Duty is a fundamental regulatory change and why compliance should be tackled in a timely manner

Shared Type: Shared Public
Published: January 23, 2023

Consumer Duty Implementation Plan Template

Discover our comprehensive Consumer Duty Implementation Plan Template, designed to help businesses ensure compliance and enhance customer satisfaction effectively

Shared Type: Shared
Published: September 23, 2022
The Consumer Duty Working Group supports firms in understanding the implications of the new rules and the structural and operational...

PIMFA response to A New Consumer Duty – Feedback to CP21/3 and further consultation

Paper Type: PIMFA Response Papers
Recipients: Financial Conduct Authority (FCA)
Month Published: February 15, 2022
PIMFA’s Vulnerable Customers Working Group is a forum for members to exchange best practice and to discuss queries, issues and...
The purpose of the Regulatory Board Sub Committee is to advise PIMFA on all regulatory matters of significance to its...

Building an effective compliance program

In this podcast episode we speak with Jason Cropper, Global Head of Commercial, GRC at PIMFA associate member firm Mitratech,...
02/12/2019

CP18/38: Restricting CFDs sold to retail clients and a discussion of other retail derivative products

Paper Type: PIMFA Response Papers
Recipients: Financial Conduct Authority (FCA)
Month Published: March 7, 2019

PIMFA Associate Members

Discover PIMFA’s Associate Member firms.

PIMFA Full Members

Discover PIMFA’s Full Members.

Find a Firm

If you are thinking about investing in financial instruments or seeking financial advice you can use our ‘Find a Firm’ service to search for a PIMFA member firm.
1 3 4 5