Future of Advice
Evolving financial advice models, ensuring accessibility, affordability, and consumer protection in changing markets.
Visit the Future of Advice dedicated microsite on this topicPIMFA Response to HM Treasury; Ban on Cold Calling for Consumer Financial Services and Products – Consultation and Call for Evidence
PIMFA Response to FCA’s Rules Review Framework
PIMFA’s response to FCA PS23/7; Broadening retail access to the long-term asset fund
DP 23 Overview – Updating and improving the UK regime for asset management (title needs updating)
Discover the PIMFA Overview of FCA DP 23/2, detailing upcoming regulatory changes for fund managers and platforms amid the Financial Services and Markets Bill
Client Communications and Marketing
Discover the PIMFA Guide to Client Communications and Marketing, designed for investment firms to create compliant marketing materials in the post-GDPR landscape
Explanatory note – The UK Retail Service Provider (RSP) model
Discover the PIMFA Explanatory Note on the UK Retail Service Provider model. Download to explore its summary, key benefits, and a detailed diagram of the system
Appropriateness – Volume 1 MIFID
Discover the PIMFA Guide to Appropriateness, designed to aid member firms in applying appropriateness rules under MiFID II, IDD, and relevant supervisory guidance
PIMFA MIFID II for Financial Advisers Guide
Discover the PIMFA MiFID II Guide for Financial Advisers. Understand key changes affecting your business and ensure compliance with new obligations by January 2018
PIMFA Guide: Handling FOS Complaint Claims
Discover the PIMFA Guide for expert insights on handling Financial Ombudsman Service complaints. Stay informed on the latest complaint resolution processes
DISCLOSURES UNDER THE IFPR
Discover the PIMFA Guide to Disclosures Under the Investment Firm Prudential Regime (IFPR). Access essential FCA public disclosure requirements and reference tables.
REVIEWING THE FCA POLICY STATEMENT ON PENSION TRANSFER ADVICE – JUNE 2020
Discover our detailed examination of the FCA Policy Statement on pension transfer advice from June 2020. Gain valuable insights into regulatory changes and their effects
PIMFA Guide for Trustees April 2022
Discover the PIMFA Guide for Trustees, April 2022. Gain valuable knowledge and strategies to enhance your role and responsibilities as a trustee