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

PIMFA Response to the Financial Services Strategy Sector: Regulatory Cross-Cutting Reforms (Leeds Reforms)

Paper Type: PIMFA Response Papers
Recipients: HM Treasury
Month Published: September 9, 2025

FCA’s Strategic Shift: Balancing Risk, Growth, and Financial Crime Prevention

Is the FCA’s ⁠five-year plan⁠ really a bold new strategy, or ‘more of the same’? In this podcast, ⁠Simon Harrington⁠,...
03/09/2025

From Insight to Action: UK Private Banking, Wealth Management and the Leeds Reforms

In this PIMFA podcast episode, host David Ostojitsch interviews Peter Tyler, Director of Personal Banking at Trade Body UK Finance,...
03/09/2025
In this practical and insightful session delivered by the co-founder of the Non-Executive Directors’ Association (‘NEDA’), we demystify the responsibilities, liabilities, and rewards of becoming a NED and provide a…
£300.00 – £400.00
Date & Time: 15th Jan 2026 (9:30) - 15th Jan 2026 (12:30)
CPD: 3 Location: Virtual

PIMFA Response to FCA CP 25-13 – Improving the Complaints Reporting process

Paper Type: PIMFA Response Papers
Recipients: Financial Conduct Authority (FCA)
Month Published: July 22, 2025
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)
CPD: 3 Location: London excel

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

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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