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Why PIMFA
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Why PIMFA
Our Work
Regulatory Policy and Compliance
Ensuring firms adhere to rules, guidelines, and regulations, maintaining market integrity and consumer protection....
Brexit
The UK's departure from the EU, requiring regulatory adjustments to ensure financial stability and consumer protection....
Consumer Duty
Consumer Duty requires firms to act in the best interests of customers, ensuring fair outcomes and clear communication....
Customer Vulnerability
Where consumers may be more susceptible to harm, requiring firms to provide fair treatment, support, and tailored services....
Data Protection
Safeguarding data through secure processing, compliance with regulations, transparency, and preventing misuse or unauthorised access....
Financial Crime
Protecting against activities like fraud, money laundering, and market abuse, threatening financial system integrity and consumer protection....
Financial Services Compensation Scheme
The UK’s statutory compensation scheme for customers of UK authorised financial services firms. It can step in to pay compensation if a firm is unable, or likely to be unable,...
Future of Advice
Evolving financial advice models, ensuring accessibility, affordability, and consumer protection in changing markets....
Markets in Financial Instruments Directive/Regulation (MiFID/MIFIR)
Regulation to enhance financial markets transparency, investor protection, and improving trading practices across financial sectors....
Pensions
The increasingly complex pension landscape for firms as they navigate a changing regulatory environment....
Product Disclosure
PRIIPs (Packaged Retail and Insurance-based Investment Products) ensuring transparent, standardised information for retail investors on investment products....
Retail Disclosure Framework
Providing clear, accurate information to consumers about financial products, ensuring transparency and informed decision-making....
Senior Managers Certification Regime (SMCR)
SMCR (Senior Managers and Certification Regime) ensures accountability, clarifies roles, and enhances individual responsibility within financial services firms....
Sustainable Finance and ESG
Integrating environmental, social, and governance factors into investment decisions to promote long-term positive impact....
Talent, Inclusion, Diversity and Equity (TIDE)
Find out more to see how PIMFA is committed to promoting Talent, Inclusion, Diversity and Equity (TIDE) in our industry....
Public Affairs
Managing relationships with stakeholders, including government, regulators, and the public, to help shape policy and regulatory outcomes....
Operations
Firm’s internal processes, systems, and controls, ensuring efficient, secure, compliant, and resilient operational functions....
Advisers' Sustainabilty Group
Industry-led working group to focus on enhancing sustainable finance capabilities within the financial advice sector....
DFM Connect
DFM Connect is a group of authorised firms providing discretionary investment management services to financial advisers and their clients....
UK Platform Group
An independent group of retail platforms working together to drive positive change. Run by platform firms, for platform firms....
Talent, Inclusion, Diversity and Equity
Promoting talent, a diverse workforce, and creating inclusive environments....
Leading Lights Forum
The PIMFA Leading Lights Forum brings together talented young people from across our member firms who conduct primary research focusing on current hot topics impacting us all across our industry....
PIMFA Wealthtech
PIMFA's FinTech platform and digital marketplace created to drive innovation and enhance collaboration between FinTechs and the wealth management and financial advice sector....
PIMFA Groups
PIMFA Groups consist of committees, forums, briefings and working groups for our member firms to discuss and examine key topics within our industry....
Guides
See a range of Guides to support our member firms covering different topics....
Thought Leadership
Engaging with stakeholders to shape policies, providing insights and promoting informed industry discussions....
Response Papers
PIMFA responds on behalf of our membership to regulator and government consultations. We do this via feedback and discussion with member firms via our committees, working groups....
make it. Campaign
Our 'make it' campaign is dedicated to changing perceptions and encouraging an exciting and diverse mix of new talent into our industry....
Events & Learning
PIMFA Events
Connect, collaborate and celebrate with PIMFA Events. From insightful webinars and thought-provoking symposiums to prestigious awards and vibrant networking opportunities, our events bring the wealth management and financial advice community...
PIMFA Learning
Elevate your expertise with PIMFA Learning Events - dynamic, industry-focused training designed to empower financial professionals. Stay ahead with cutting-edge insights, practical skills, and networking opportunities tailored for your growth....
PIMFA Learning Programmes
PIMFA Learning provides expert-led courses and resources to help you develop skills and stay compliant in the wealth management and financial advice industry.”...
Podcasts
Short, deep dive conversations with experts on the topics that matter most to you....
Webinars on Demand
View our past webinars on demand....
PIMFA Groups
PIMFA Groups consist of committees, forums and working groups which provide an opportunity for individuals from our member firms to discuss relevant topics within our industry and examine issues such...
Get Involved
Take an active role in shaping the industry's future. Whether you're looking to attend, sponsor, exhibit, or speak, PIMFA Events offer unparalleled opportunities to connect, share insights, and make an...
Industry Events
Stay informed and engaged with PIMFA's Industry Events. Discover a curated selection of conferences, seminars, workshops, and networking opportunities hosted by industry leaders. Stay ahead of trends, gain fresh insights...
News
Indices
Morningstar PIMFA Private Investor Index Series
The Morningstar PIMFA Private Investor Index Series is a set of indices designed to represent the performance of a diversified portfolio of assets that are relevant to private investors....
Morningstar PIMFA Equity Risk Index Series
The Morningstar PIMFA Equity Risk Index Series is a collection of five composite indices designed to mirror the performance of multi-asset strategies employed by UK wealth management firms....
About Us
About PIMFA
PIMFA is the voice of the UK’s personal wealth services sector. PIMFA champions a culture of financial health for all and represents and supports providers of wealth management services, financial...
PIMFA Staff
PIMFA's staff cover a variety of aspects at PIMFA from expert technical guidance to membership support and much more....
PIMFA Board
PIMFA’s Board governs the workings and strategic direction of PIMFA led by our Chairman, Lord Deben, and CEO, Liz Field. It consists of leading senior figures from a representative...
PIMFA Groups
PIMFA Groups consist of committees, forums, briefings and working groups which provide an opportunity for individuals from our member firms to discuss relevant topics within our industry and examine issues...
PIMFA Plus
PIMFA Plus offers our full and associate member firms a suite of valuable services and curated products at bespoke rates from specialised partners that work with PIMFA....
Advisers' Sustainability Group
PIMFA provide the Secretariat to the FCA's industry-led working group to focus on enhancing sustainable finance capabilities within the financial sector....
UK Platform Group
An independent group of retail platforms working together to drive positive change. Run by platform firms, for platform firms....
Corporate Social Responsibility/Sustainability
Sustainable Finance & ESG is an area of strategic focus for PIMFA making sure we are championing a high standard for our future....
Annual Report
PIMFA’s annual report is a review of our purpose, activity and key achievements over our membership year which runs from 1st June to 31st May....
PIMFA Members
PIMFA's membership is on a corporate level. We represent both full and associate member firms. See who our member firms are....
PIMFA Careers
Job opportunities at PIMFA....
Find a Firm
Use our online directory to find a PIMFA member firm who can help you manage your money, buy and sell shares and access financial advice....
About Our Industry
Our industry helps people navigate the difficult financial decisions needed throughout the stages of their life. These professionals provide valuable expertise and support. ...
PIMFA Members
PIMFA's membership is on a corporate level. We represent both full and associate member firms. See who our member firms are....
PIMFA Plus
PIMFA Plus offers our full and associate member firms a suite of valuable services and curated products at bespoke rates from specialised partners that work with PIMFA....
PIMFA Groups
PIMFA Groups consist of committees, forums, briefings and working groups which provide an opportunity for individuals from our member firms to discuss relevant topics within our industry and examine issues...
PIMFA WealthTech
PIMFA Wealthtech develops new concepts and promotes the latest technologies for the benefit of our members....
Find a Firm
Use our online directory to find a PIMFA member firm who can help you manage your money, buy and sell shares and access financial advice....
Want to Collaborate?
Get in touch if you would like to collaborate with us in any of these areas. ...
Contact Us
All the details you will need to contact PIMFA....

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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 topic

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

Shared Type: Shared
Published: April 26, 2023
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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

Shared Type: Shared
Published: April 21, 2023
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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

Shared Type: Shared
Published: April 21, 2023
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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

Shared Type: Shared
Published: April 20, 2023
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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

Shared Type: Shared
Published: April 20, 2023
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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

Shared Type: Shared
Published: April 11, 2023
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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.

Shared Type: Shared
Published: March 31, 2023
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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

Shared Type: Shared
Published: March 31, 2023
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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

Shared Type: Shared
Published: March 24, 2023
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PIMFA Response to FCA DP22/6: Future Disclosure Framework

Paper Type: PIMFA Discussion Papers
Recipients: Financial Conduct Authority (FCA)
Month Published: March 7, 2023
View Response

PIMFA Response to HM Treasury: PRIIPs and UK Retail Disclosure

Paper Type: PIMFA Response Papers
Recipients: HM Treasury
Month Published: March 2, 2023
View Response

PIMFA response to CP22/24 Broadening access to financial advice for mainstream investments

Paper Type: PIMFA Response Papers
Recipients: Financial Conduct Authority (FCA)
Month Published: February 28, 2023
View Response

Future of Advice Paper (February 2021)

Discover PIMFA's vision for the future of the advice market. Download our paper to explore strategies that enhance financial well-being for advisers and consumers

Shared Type: Shared
Published: February 20, 2023
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Insistent Clients is a good practice guide

Discover the PIMFA Insistent Clients guide, featuring definitions, policy suggestions, and practical steps for effectively managing Insistent Clients in your practice

Shared Type: Shared
Published: January 30, 2023
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MiFID II – Advice and Independence

Discover the PIMFA MiFID II Investment Advice and Independence pages. Download now to explore changes to definitions in PS17/14 and enhance your understanding

Shared Type: Shared
Published: January 12, 2023
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