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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...
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 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 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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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

MiFID II – Suitability

Discover the PIMFA MIFID II – Suitability pages, featuring an in-depth analysis of ESMA’s Consultation Guidelines on the obligations of firms in MIFID business

Shared Type: Shared
Published: January 12, 2023
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MiFID II – Information to Clients

Discover the PIMFA MiFID II Reporting to Clients pages for comprehensive analysis on CP16/29, COBS 16 draft handbook, and ESMA Q&A on investor protection

Shared Type: Shared
Published: January 12, 2023
View

MiFID II – Reporting to Clients

Discover the PIMFA MiFID II Reporting to Clients pages for comprehensive analysis on CP16/29, COBS 16 draft handbook, and ESMA Q&A on investor protection

Shared Type: Shared
Published: January 12, 2023
View

MiFID II – Personal Account Dealing

Discover the PIMFA MiFID II – Personal Account Dealing pages. Download essential resources to ensure compliance and enhance your understanding of regulations

Shared Type: Shared
Published: January 12, 2023
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MiFID II – Inducements – Research

Discover the PIMFA MIFID II Inducements: Research page, detailing PS17/14 provisions for firms' third-party research arrangements under MiFID II regulations

Shared Type: Shared
Published: January 12, 2023
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MiFID II – Outsourcing

Discover the PIMFA MIFID II Outsourcing page for essential action points and insightful comments on relevant topics. Download now for comprehensive guidance

Shared Type: Shared
Published: January 12, 2023
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MiFID II – Compliance Function

Discover the PIMFA MIFID II Guide to the Compliance Function, featuring action points and insights on MIFID II Article 16 and Delegated Acts Article 22

Shared Type: Shared
Published: January 12, 2023
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MiFID II – Appropriateness

Discover the PIMFA MIFID II Guide to Appropriateness. This comprehensive guide assists firms in understanding the appropriateness assessment and related regulatory updates

Shared Type: Shared
Published: January 12, 2023
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FSCS and PII Costs: A Rising Tide Lifts All Boats (October 2020)

Discover insights into the significant rise in FSCS levies and Personal Indemnity Insurance premiums

Shared Type: Shared
Published: December 15, 2022
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FSCS Road Map: A Rising Tide Lifts All Boats (November 2020)

PIMFA advocates for urgent government and regulatory measures to enhance the FSCS Road Map, ensuring consumer confidence while addressing deeper systemic issues in the investment market.

Shared Type: Shared
Published: December 15, 2022
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PIMFA’s response to FCA CP22-19: Creation of a baseline financial resilience regulatory return

Paper Type: PIMFA Response Papers
Recipients: Financial Conduct Authority (FCA)
Month Published: November 30, 2022
View Response

DP22/2: Primary Markets Effectiveness Review: Feedback to the discussion of the purpose of the listing regime and further discussion’

Paper Type: PIMFA Discussion Papers
Recipients: Financial Conduct Authority (FCA)
Month Published: July 27, 2022
View Response

PIMFA response to consumer redress scheme for unsuitable advice to transfer out of the British Steel Pension Scheme

Paper Type: PIMFA Response Papers
Recipients: Financial Conduct Authority (FCA)
Month Published: July 4, 2022
View Response

PIMFA’s response to FCA Quarterly Consultation No 35 – CP 22/4

Paper Type: PIMFA Response Papers
Recipients: Financial Conduct Authority (FCA)
Month Published: April 5, 2022
View Response

PIMFA’s response to the FCA Compensation Framework Review

Paper Type: PIMFA Response Papers
Recipients: Financial Conduct Authority (FCA)
Month Published: March 11, 2022
View Response
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