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 topicPIMFA Key Successes Overview 2025/26
Read the overview of how we are continuing to deliver meaningful change and value. Looking at our successes over the last year in Policy and Advocacy and Regulation and Compliance, with an overview of PIMFA Groups, Event Highlights and Awards.
PIMFA Key Successes 2025/26
Read how we are continuing to deliver meaningful change and value. Looking at our successes over the last year in Policy and Advocacy and Regulation and Compliance, with an overview of PIMFA Groups, Event Highlights and Awards.
PIMFA Queries Compendium
This Queries Compendium represents PIMFA’s first publication bringing together a selection of the queries raised by our member firms over the past two years. The queries encompass a wide range of regulatory and operational topics, and we have included those that remain most pertinent and of continuing value to our membership.
PIMFA response to HMT Consultation on AML/CTF Supervision Reform: Duties, Powers and Accountability
From oversight to insurance: How AR reforms reshape principal risk
Read here an article from PIMFA Journal #32 by Kate Albert, CEO & Founder at Kova Professions, looking at what HM Treasury’s Appointed Representative reforms mean for financial adviser principals
Relationships between advisers and Discretionary Investment Managers
Discover the 2023 threesixty/PIMFA/DFM Connect guide to explore the relationships between advisers and Discretionary Investment Managers, including key pros and cons
Journal #28
Discover here the PIMFA Journal #28 with articles from our members
FCA implements changes to exemptions to the Financial Promotions Order – Explanatory Memorandum
Discover the 2024 explanatory memorandum for the Financial Services and Markets Act 2000. Stay informed about the latest amendments and transitional provisions
New City of London Corporation report – The UK: a top destination for financial and professional services investment
Discover the April 2024 City of London Corporation report detailing the UK's £1bn foreign direct investment in financial and professional services for 2023
FCA’s Financial Resilience Survey – the results
Discover the FCA's Completion Guidance form for the Baseline Financial Resilience Report. Ensure compliance and enhance your financial reporting
FCA’s Finalised Guidance and Feedback Statement – FG24-1 on financial promotions on social media
Discover the FCA's Finalised Guidance (FG24/1) on financial promotions via social media, detailing expectations for firms and influencers in effective communication
FCA: Handbook Notice No 117
Discover the FCA's Handbook Notice No 117, featuring key amendments including Data Reporting Services Forms and updates to the Conduct of Business Sourcebook
Financial Conduct Authority Response to Financial Services Regulation Committee
Discover the FCA's detailed response to the FSRC's concerns on cost disclosure for listed investment companies, ensuring transparency in financial regulations
Financial Ombudsman Service – Plans and Budget Consultation 2024-25
Discover the Financial Ombudsman Service (FOS) Plans and Budget Consultation 2024/25, detailing improvements for consumers and businesses while reducing costs
PS23/13 – Introducing a gateway for firms who approve financial promotions
Discover the FCA Policy Statement PS23/13 from September 2023, detailing the new gateway for firms approving financial promotions and the FCA's feedback response