Register

The Personal Investment Management & Financial Advice Association (PIMFA)

Join

Show All Results

Filter by Topics

Dictionary

Login Home
Why PIMFA
Our Work
Events & Learning
News
Indices
About Us
Why PIMFA
Our Work
Regulatory Policy and Compliance
Ensuring firms adhere to rules, guidelines, and regulations, maintaining market integrity 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....
Culture & Inclusion
Find out more to see how PIMFA is committed to promoting culture and inclusion in our industry....
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....
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....
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....
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....
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....
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....
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....
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....
The Women in Finance Charter
Launched in 2016, The Women in Finance Charter is a HM Treasury initiative that promotes gender balance in financial services by encouraging firms to set targets, report on progress, and...
About Our Industry
Firms within the sector are also changing due to competition, M&A activity, heightened regulatory scrutiny, changing customer expectations, the need to invest in technology, and a talent shortage, which all...
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....

Show All Results

Filter by Topics

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’s response to FCA DP19/1 – Building A Regulatory Framework For Effective Stewardship

Paper Type: PIMFA Discussion Papers
Recipients: Financial Conduct Authority (FCA)
Month Published: April 23, 2019
View Response

PIMFAs response to FCA CP18/31 – Increasing the award limit for the Financial Ombudsman Service (FOS)

Paper Type: PIMFA Response Papers
Recipients: Financial Conduct Authority (FCA)
Month Published: December 10, 2018
View Response

PIMFA’s response to FCA DP18/5 on a Duty of Care and potential alternative approaches

Paper Type: PIMFA Response Papers
Recipients: Financial Conduct Authority (FCA)
Month Published: October 25, 2018
View Response

Implementation of MIFID in EU Member States

Shared Type: Shared
Published: 21 October 2018
View

PIMFA’s Response to FCA CP18/19 – Introducing the Directory

Paper Type: PIMFA Response Papers
Recipients: Financial Conduct Authority (FCA)
Month Published: September 25, 2018
View Response

PIMFA’s response to FCA MS17/1.2 : Investment Platforms Market Study – Interim Report

Paper Type: PIMFA Response Papers
Recipients: Financial Conduct Authority (FCA)
Month Published: September 20, 2018
View Response

PIMFA’s response to FCA Retirement Outcomes Review: Proposed changes to our rules and guidance

Paper Type: PIMFA Response Papers
Recipients: Financial Conduct Authority (FCA)
Month Published: September 14, 2018
View Response

PIMFA Insurance Distribution Directive Guide

Shared Type: Shared
Published: 13 September 2018
View

FCA Notification Rules Guide

Shared Type: Shared
Published: 21 August 2018
View

PIMFA’s response to the FCA’s CP18/9 Consultation on further remedies – Asset Management Market Study

Paper Type: PIMFA Response Papers
Recipients: Financial Conduct Authority (FCA)
Month Published: July 3, 2018
View Response

PIMFA’s response to FCA Mission: Our Approach to Supervision

Paper Type: PIMFA Response Papers
Recipients: Financial Conduct Authority (FCA)
Month Published: June 25, 2018
View Response

PIMFA’s response to FCA’s consultation CP18/10 – regulated fees and levies: Rates proposals 2018/19

Paper Type: PIMFA Response Papers
Recipients: Financial Conduct Authority (FCA)
Month Published: May 25, 2018
View Response

PIMFA’s Response to Improving the Quality of Pension Transfer Advice

Paper Type: PIMFA Response Papers
Recipients: Financial Conduct Authority (FCA)
Month Published: May 24, 2018
View Response

PIMFA’s response to House of Lords EU Select Committee’s Post-Brexit EU-UK relations inquiry

Paper Type: PIMFA Response Papers
Recipients: House of Lords
Month Published: May 1, 2018
View Response

PIMFA’s response to FCA CP18/3 – Consultation on SME access to the Financial Ombudsman Service

Paper Type: PIMFA Response Papers
Recipients: Financial Conduct Authority (FCA)
Month Published: April 13, 2018
View Response
1 … 7 8 9 10 11