PIMFA
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The new Consumer Duty is finally here with a bang – with boards being required to approve their firm’s implementation plans by the end of October 2022. However, with proper planning, ensuring compliance with the new higher standards doesn’t need to be all-consuming to you or your firm.
Through this FREE, must-attend 90-minute webinar, our panel of regulatory experts and lawyers will unpick for you the key elements of the FCA’s final rules, exploring the practical steps required to understand, analyse, implement and test compliance with Consumer Duty across your firm.
Our discussion will focus on:
1. The new Consumer Principle, the Four Outcomes and the Cross-Cutting Rules
2. The implementation timeframe and the associated internal reporting requirements
3. The impact for Senior Managers in respect of personal accountability & adherence to the new Conduct Rule 6
4. The MI conundrum – what do we have, what do we need?
5. Regulatory expectations and the role of 1st, 2nd & 3rd line in support of an effective implementation
More about Julie Pardy
Julie has more than 30 years’ experience in Financial Services all of which has been gained within the Banking, Insurance and Advice/Wealth Sector.
Julie has held senior roles across Sales, Compliance, Operations and Training & Competence and for the last third of her career has acted as a consultant to the industry.  As a partner at the regulatory training & consultancy firm FSTP for over 4 years, Julie led on projects covering the Approved Persons Regime, Culture, Senior Management Responsibilities, Regulatory Interview Preparation, S166 Remediation Projects, Training & Competence, Conduct Risk and Treating Customers Fairly to name but a few.
Having spent the last 3½ years at Worksmart, Julie has focused heavily on assisting organisations implement their responsibilities under the Senior Managers & Certification Regime.
Julie undertakes work on SM&CR, Culture & Conduct and its application for a range of Trade Bodies in the UK such as UK Finance (formerly British Banking Association), The Investment Association, The Finance and Leasing Association and the Credit Services Association and historically has worked with their members in open settings and on in-house projects across this particular topic.
Leading the regulatory & market engagement approach for Worksmart, Julie is focused on helping develop and deliver products that not only assist firms in meeting their regulatory obligations but also ensuring that they drive business benefits within the firms.
More about Jonathon Crook
Jonathon Crook has specialist expertise in handling a wide range of disputes within the banking, finance and financial services sector and regulatory investigations and enforcement proceedings by the FCA and other bodies with a particular focus on retail advice. He is the co-ordinating Partner for the Financial Services Disputes and Investigations practice at Shoosmiths.
More about Daren Allen
More about Simon Harrington
Simon joined PIMFA in November 2017 as a Senior Policy Adviser with a focus on public policy and long term savings. He has previously worked at the National Employment Savings Trust (NEST) and the Treasury in a variety of roles working on a number of issues including automatic enrolment, pension freedoms and the UK’s response to the financial crisis.
Simon has a strong interest in long term savings issues with a particular focus on overcoming behavioural barriers and the support structures that can be put in place in order to help and encourage a thriving savings culture in the UK.
