The Personal Investment Management & Financial Advice Association (PIMFA)

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Supervision

The oversight of firms and individuals to reduce actual and/or potential harm to consumers and markets.

Visit the Supervision dedicated microsite on this topic
Following from the HUGE success of the PIMFA Women’s Symposium 2025, we are delighted to announce details of the 2026 event. …
£350.00 – £1,100.00
Date & Time: 19th May 2026 (8:00) - 20th May 2026 (17:00)
Location: London excel

FCA Independent Statutory Panel

Shared Type: Shared
Published: March 24, 2025

PIMFA Response to FCA CP24/2 Part 2; Greater transparency of our enforcement investigations

Paper Type: PIMFA Response Papers
Recipients: Financial Conduct Authority (FCA)
Month Published: February 14, 2025

PIMFA response to Modernising the redress system

Paper Type: PIMFA Response Papers
Recipients: Financial Conduct Authority (FCA)
Month Published: January 30, 2025

PIMFA response: Financial Services Growth & Competitiveness Strategy

Paper Type: PIMFA Response Papers
Recipients: HM Treasury
Month Published: January 7, 2025

PIMFA’s submission to Call for Input (CfI): Review of requirements following the introduction of the Consumer Duty

Paper Type: PIMFA Response Papers
Recipients: Financial Conduct Authority (FCA)
Month Published: October 31, 2024

PIMFA’s submission to GC24/4: Proposed amendments to Guidance on the treatment of politically exposed persons

Paper Type: PIMFA Response Papers
Recipients: Financial Conduct Authority (FCA)
Month Published: October 18, 2024

PIMFA’s submission to the House of Lords Financial Services Regulation Committee (FSRC) on the FCA’s proposals in consultation paper CP24/2: Our Enforcement Guide and publicising enforcement investigations – a new approach

Paper Type: PIMFA Response Papers
Recipients: House of Lords EU Financial Affairs Sub-Committee
Month Published: October 11, 2024

PIMFA response to Charging Claims Management Companies and other professional representatives

Paper Type: PIMFA Response Papers
Recipients: The Financial Ombudsman Service (FOS)
Month Published: July 3, 2024

FOS Scheme Criteria

Shared Type: Shared Public
Published: June 17, 2024

Financial Conduct Authority: Authorisations operating service metrics 2023/24 Q4

Shared Type: Shared Public
Published: May 22, 2024

House of Lords Financial Services Regulation Committee (FSRC) Letter

Shared Type: Shared Public
Published: May 22, 2024

Financial Conduct Authority Response to Financial Services Regulation Committee

Shared Type: Shared Public
Published: May 22, 2024

PIMFA response to FCA Consultation Paper CP24/6: Regulatory fees and levies: policy proposals for 2024/25

Paper Type: PIMFA Response Papers
Recipients: Financial Conduct Authority (FCA)
Month Published: May 16, 2024

PIMFA response to The regulatory framework for pensions dashboard service firms: further consultation

Paper Type: PIMFA Response Papers
Recipients: Financial Conduct Authority (FCA)
Month Published: May 16, 2024
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