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WEBINAR: Transaction Reporting – Practical Steps to Reduce Regulatory Risk
Transaction reporting is frequently cited as one of the most complex regulatory requirement firms face. The recent substantial fines for…
10th July 2019 11:00FIND OUT MORE
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WEBINAR: CASS in the New World of Personal Accountability: Are You Ready?
Join us for a much-requested webinar to talk about the evolution of SM&CR and the personal accountability regime and what…
16th September 2019 15:00FIND OUT MORE
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WEBINAR: SM&CR Conduct Rules: Best Practice Implementation
The FCA announced (5th August) that it will be increasing its supervisory focus on how firms are embedding the conduct…
17th September 2019 10:00FIND OUT MORE
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WEBINAR: Effective Complaint Management
The FCA has always had a keen eye on how firms handle complaints from clients, but we know from 2019/20…
18th September 2019 11:00FIND OUT MORE
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PIMFA Webinar: Re-evaluating Suitability & Compliance Approaches for High-Risk Customers
In today’s heavily regulated environment, firms are consistently called upon to reevaluate their supervision and suitability compliance approaches. High risk…
5th November 2019 15:30FIND OUT MORE
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PIMFA Webinar: SM&CR: The Hidden Challenges for HR
The HR function will play a critical role in the successful implementation and maintenance of SM&CR. But with great power,…
7th November 2019 14:00FIND OUT MORE
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PIMFA Webinar: SMCR: Training and Competence, what you really should know
The focus of PIMFA member firms has been to get over the SMCR 9th Dec deadline, but this may be…
27th November 2019 11:00FIND OUT MORE
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Webinar: The Simple Answer to Cash Management and how it can grow your business
Current interest rates and natural inertia in the banking industry has provided little motivation for savers to move their cash…
4th December 2019 10:00FIND OUT MORE
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PIMFA Webinar: 7 Hallmarks of effective compliance – What makes a compliance program truly effective?
The need to grow and increase compliance measures in order to keep strategically aligned with your organisation is a constant…
9th January 2020 11:00FIND OUT MORE
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PIMFA Webinar: Creating a robust Money Laundering and Terrorist Financing Risk Assessment
Since the implementation of the Money Laundering Regulations 2017, there has been a legal requirement for regulated firms to take…
14th January 2020 11:00FIND OUT MORE
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PIMFA Training: Let’s Talk About Product Governance and PROD Rulebook
IMPORTANT ANNOUNCEMENT: Following recent developments and advice from the World Health Organization and the UK Government on Coronavirus (COVID-19), we…
24th March 2020 09:30FIND OUT MORE
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Webinar Wednesday – FCA Update
Following the latest Government measures for COVID-19, PIMFA have arranged to hold weekly meetings with The FCA each Wednesday to…
25th March 2020 15:00FIND OUT MORE
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Webinar Wednesday – FCA Update – Episode 2
Following the latest Government measures for COVID-19, PIMFA have arranged to hold weekly meetings with The FCA each Wednesday to…
1st April 2020 15:00FIND OUT MORE
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PIMFA Webinar-Webinar Wednesday – FCA Update – Episode 3
Following the latest Government measures for COVID-19, PIMFA have arranged to hold weekly meetings with The FCA each Wednesday to…
8th April 2020 15:00FIND OUT MORE
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PIMFA Webinar- Your cyber resilience: what every PIMFA member firm needs to know during the coronavirus crisis
The UK is currently working from home and cyber criminals are eagerly looking to exploit the greater vulnerabilities this new…
9th April 2020 11:00FIND OUT MORE
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PIMFA Webinar – Webinar Wednesday Special – Episode 4
In this week’s Webinar Wednesday former cabinet minister the Rt Hon Jim Murphy provides PIMFA member firms with an exclusive…
22nd April 2020 10:00FIND OUT MORE
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PIMFA Webinar: Webinar Wednesday – Episode 5: Investment Scams & COVID-19
In this episode, PIMFA senior policy analysts Giulia Lupato and Simon Harrington will discuss the threat of scams in the…
29th April 2020 15:00FIND OUT MORE
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PIMFA Webinar: Webinar Wednesday Ep. 6 – COVID 19 & Approach to Vulnerable Clients
In this episode, PIMFA senior policy analyst Alexandra Roberts will discuss the approach to vulnerable clients during the COVID-19 pandemic.…
6th May 2020 15:00FIND OUT MORE
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PIMFA Webinar – COVID-19: The acid test of your firms approach to wellbeing and resilience
Overnight home working has become the norm with firms and individuals having to adapt at breakneck speed to a new…
7th May 2020 11:00FIND OUT MORE
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PIMFA Webinar: Webinar Wednesday Ep. 7 – COVID-19 & ESG Investing
In this episode, PIMFA senior policy analysts Des FitzGerald & Maja Erceg will discuss the impact on ESG investing during…
13th May 2020 15:00FIND OUT MORE
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PIMFA Webinar: Webinar Wednesday Ep. 8 – COVID-19 & Digital Innovation
How your firm can use digital innovation during the COVID-19 Crisis? PIMFA.senior policy advisor, Kevin Sloane, talks to Gilly Green, Managing…
20th May 2020 15:00FIND OUT MORE
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PIMFA Webinar: Webinar Wednesday Ep. 9 – COVID-19 & Brexit
Brexit: What happens next? The next instalment of PIMFA’s Webinar Wednesday (available to members only) will consider Brexit and what…
17th June 2020 15:00FIND OUT MORE
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PIMFA Live Online Training: ‘Best Practices in Business Continuity: How your firm can respond proactively to disruptive events”
If a dog is not just for Christmas, neither is your business continuity plan (BCP) just for the current crisis!…
22nd June 2020 09:30FIND OUT MORE
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PIMFA Webinar: Webinar Wednesday Ep. 10 – COVID-19 & Approach to Effective Communications
Sam Bingham, PIMFA’s Marketing Manager is joined by Jane Goodland, Corporate Affairs Director at Quilter Plc and Nicola Harley, Head…
24th June 2020 15:00FIND OUT MORE
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PIMFA live online Training: “Building operational resilience in wealth management firms”
The FCA may well have delayed their publication of CP19/32: “Building operational resilience” but they still expect all regulated firms…
29th June 2020 09:30FIND OUT MORE
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PIMFA Webinar: Webinar Wednesday Ep. 11 – COVID-19 & Diversity & Inclusion
Matthew West, PIMFA’s PR Manager will be joined by Susheel Sharma, Partnerships Manager at The Brokerage and Matt Cameron, Global Managing Director of LGBT…
1st July 2020 15:00FIND OUT MORE
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PIMFA Webinar: Webinar Wednesday Ep.12 – Compliance under COVID-19: Extending Tools and Techniques to Remote Environments
During the pandemic, firms have closed offices and sent employees home to work. In this new mode of operation, regulated…
8th July 2020 15:00FIND OUT MORE
Webinars
Update on the Chancellor’s ‘Mini Budget’
Watch the Recording This week, Chancellor Rishi Sunak will be announcing a 'mini-budget' that will set out how HM Treasury…
10th July 2020 10:00FIND OUT MORE
LearningWebinars
PIMFA Webinar – Life Beyond Lockdown: How Women Can Get What They Really Want
As lockdown starts to ease, many female executives have been reflecting on what their new ‘normal‘ will look like. For…
14th July 2020 12:00FIND OUT MORE
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PIMFA Webinar: Webinar Wednesday Ep. 13 – COVID-19 & The Critical Actions Your Firm Must Take to Reduce Conduct Risk
At PIMFA’s recent V Fest, Megan Butler, the FCA’s Executive Director of Supervision, reminded PIMFA member firms of the regulator's…
15th July 2020 15:00FIND OUT MORE
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PIMFA Webinar: Webinar Wednesday Ep. 14 – Exploring the impact of the COVID-19 pandemic on firms’ Operational Resilience plans
The wealth management and financial advice sector has largely  ‘risen to the occasion’ over the past three months and has…
22nd July 2020 15:00FIND OUT MORE
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PIMFA Webinar: Webinar Wednesday Ep. 15 – Opportunities for Wealth Managers and Financial Advisers in China
PIMFA is delighted to be joined by the City of London Corporation, FNZ Group and King & Wood Mallesons for the…
29th July 2020 15:00FIND OUT MORE
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PIMFA Webinar: Webinar Wednesday Ep. 16 – What is Open Finance and how could it work in practice?
In the last Webinar Wednesday before the summer break, PIMFA Senior Policy Advisers Giulia Lupato and Mike Cahill will provide…
5th August 2020 15:00FIND OUT MORE
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PIMFA Live Online Webinar: The Power of Poise, how to develop core confidence
The Power of Poise: How to Develop Core Confidence The Imposter Syndrome is now recognised as a common experience amongst…
8th September 2020 12:00FIND OUT MORE
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PIMFA Webinar: Webinar Wednesday S.2 – Ep.1 – Making the most of ESG Investment Opportunities
Webinar Wednesday returns this week (16 September) after its summer break to provide the latest industry insights at its usual…
16th September 2020 15:00FIND OUT MORE
LearningWebinars
PIMFA Webinar: The Power of Purpose: How to achieve your professional ambitions AND have a fulfilling personal life
You’ve had some career success and know you’re capable of more. You have goals and plans. However, you want your…
23rd September 2020 12:15FIND OUT MORE
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PIMFA Live Online Learning: CASS Client Money: What you should know in 2020
**Please note tickets for this have sold out**  While the principles embodied within the FCA’s Client Assets (CASS) sourcebook are…
30th September 2020 09:30FIND OUT MORE
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PIMFA Webinar: Webinar Wednesday S.2 – Ep.2 – The priorities and aim of the Financial Services Skills Commission
The recent review of PIMFA member priorities has indicated that skills, talent and Diversity & Inclusion remain significant issues. This chimes…
30th September 2020 15:00FIND OUT MORE
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PIMFA Webinar: The Power of Partnership: How to develop mutually beneficial relationships that lead to career success
You’re well aware that networking and building relationships is important for your career. And, you know how the quality of…
7th October 2020 12:15FIND OUT MORE
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PIMFA Webinar: Webinar Wednesday S.2 – Ep.3 – What are Pensions Dashboards and when will they arrive?
This week's webinar will focus on the proposals to introduce Pensions Dashboards. The Government has committed to facilitating the pensions…
7th October 2020 15:00FIND OUT MORE
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PIMFA Webinar: Webinar Wednesday S.2 – Ep.4 – The reality of operating in Europe post Brexit
The reality of operating in Europe post Brexit                                          With the UK is due to exit the EU Single Market…
21st October 2020 15:00FIND OUT MORE
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PIMFA Webinar: Webinar Wednesday S.2 – Ep.5 – What the FCA Expects of Firms Post-Brexit
What the FCA Expects of Firms Post-Brexit With the UK due to leave the Single Market at the end on…
4th November 2020 10:00FIND OUT MORE
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PIMFA Webinar: Webinar Wednesday S.2 – Ep.6 – ESG & Sustainable Finance Disclosure Regulation: What You Need to Know
ESG & Sustainable Finance Disclosure Regulation: What You Need to Know During this webinar, Grania Baird and Kya Fear from…
18th November 2020 15:00FIND OUT MORE
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PIMFA Live Online Learning: Getting the DB Pensions transfer advice process right.
On Friday 5th June The FCA released policy statement PS20/6 that outlined the banning contingent charging in the pension transfer…
24th November 2020 09:30FIND OUT MORE
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PIMFA Webinar: How to have more effective ESG conversations with your clients
Over the last few months, you’ve been inundated with messages on ESG. You get that ESG is not a fad,…
3rd December 2020 11:00FIND OUT MORE
PIMFA EventsWebinars
PIMFA Webinar: Investment Firm Prudential Regime Briefing
The FCA is designing a new prudential framework specifically for UK MiFID firms, but influenced by the Investment Firm Regulation…
9th December 2020 15:00FIND OUT MORE
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PIMFA Live Online Learning: SMCR Conduct Rules Train the Trainer programme
As the regulator expects firms to have role-specific training in place that provides a high degree of confidence that conduct…
10th December 2020 09:30FIND OUT MORE
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PIMFA Live Online Learning: What does good ‘Training and Competency’ look like in your firm under COVID-19?
As firms navigate towards a ‘new norm’ the FCA has made it clear in 2020 that they “expect firms to…
14th December 2020 09:00FIND OUT MORE
Industry ConferenceIndustry EventsIndustry Seminar
Actions Speak Louder Than Words
Webinar – 10am to 11am (GMT), 15th December 2020 Join us to explore how increasing shareholder engagement and democracy is…
15th December 2020 10:00FIND OUT MORE
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PIMFA Webinar: Webinar Wednesday S.2 – Ep.7 – Brexit: What next?
Brexit: What next? As negotiations between the UK Government and European Commission go to the wire the only thing we…
6th January 2021 15:00FIND OUT MORE
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PIMFA Live Online Learning: SMCR: Getting your Fit and Proper Assessments Right First Time
January Sale! Bring a colleague along for free! Use code tcrewardb1g1f at checkout for a 50% discount on 2 tickets. Any queries…
14th January 2021 09:30FIND OUT MORE
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PIMFA Webinar: ‘How To Thrive, Not Just Survive’
During these unprecedented times, it can be very easy to lose your motivation and go into survival mode - gritting…
3rd February 2021 11:30FIND OUT MORE
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PIMFA Webinar: Authentic Leadership Programme ‘Find out more’ (Session 1)
We would like to invite you to discover more about PIMFA’s new ‘Authentic Leadership: How to Thrive as a Female…
9th February 2021 15:45FIND OUT MORE
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PIMFA Webinar: Webinar Wednesday S.3 – Ep.1 – Life after Brexit
We are delighted to bring you Series 3 of Webinar Wednesday. Episode 1 will be focussing on 'Life after Brexit'.…
17th February 2021 15:00FIND OUT MORE
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PIMFA Webinar: The Power of Poise: How to Develop Core Confidence
The Imposter Syndrome is now recognised as a common experience amongst professional women. Even though their skills and talents are…
18th February 2021 11:30FIND OUT MORE
LearningWebinars
PIMFA Webinar: Authentic Leadership Programme ‘Find out more’ (Session 2)
We would like to invite you to discover more about PIMFA’s new ‘Authentic Leadership: How to Thrive as a Female…
23rd February 2021 11:45FIND OUT MORE
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PIMFA Webinar: “Good Culture doesn’t just happen! – What PIMFA members need to work on in 2021”
If Culture is what people do when no one is looking, then 2021 might prove to be as challenging to…
25th February 2021 12:00FIND OUT MORE
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PIMFA Webinar: Lockdown and Return to Work – What PIMFA members need to be doing in 2021
The Covid-19 pandemic and its impact on employers, employees and the workplace continues. However, companies need to look ahead and…
4th March 2021 11:00FIND OUT MORE
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PIMFA Webinar: Professional Indemnity Insurance – the full story 2021
This 60 minute webinar will focus on the subject of Professional Indemnity Insurance for Wealth Managers from three perspectives: The…
27th April 2021 11:00FIND OUT MORE
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PIMFA Webinar: What type of ESG Investor is your client?
The research is clear; the pandemic has made people think more about investing sustainably, so how do advisors and wealth…
5th May 2021 11:00FIND OUT MORE
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PIMFA Live Online Learning: Transaction Reporting How your firm can avoid errors, data issues and fines
Tickets for this event are now SOLD OUT. https://vimeo.com/547431466 Market Watch 65, published in September 2020 is the FCA’s third…
13th May 2021 09:30FIND OUT MORE
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PIMFA Webinar: How to build an innovative financial advisor in under seven months? 2021
Join Kidbrooke and Evida as they take you on the successful journey of digitalising a wealth management business. Here they…
19th May 2021 11:00FIND OUT MORE
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PIMFA Webinar: Cultural Measurement and Indicators: What The Bank of England research tells us
Regulated firms have struggled to measure Culture, often citing that ‘it’s far too difficult and abstract’ to define and manage…
25th May 2021 12:00FIND OUT MORE
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PIMFA Webinar: Improving diversity and inclusion in the workplace – what is expected from PIMFA members in 2021?
Diversity and inclusion have never been more important in the financial services sector than they are now, and it is…
10th June 2021 12:00FIND OUT MORE
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PIMFA Webinar: Where policy stops and conversations start: how frontline staff can effectively meet the needs of vulnerable customers in 2021
In February 2021, the FCA issued finalised guidance “to drive improvements in the way firms treat vulnerable consumers”. Under the…
1st July 2021 12:00FIND OUT MORE
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PIMFA Webinar: The Social Media Dilemma: How to Grow your Business and Still Stay FCA Compliant
The next generation of clients is 5 times more likely to seek financial advice through social media channels. Advisers and…
8th July 2021 12:00FIND OUT MORE
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PIMFA Live Online Learning: Financial Promotions: Latest Developments & Refresher Session
  Fundamental changes to the financial promotion regime are expected in 2021, as a result of a Treasury consultation. The…
28th October 2021 09:30FIND OUT MORE
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PIMFA Webinar: HR Issues for Wealth Firms – Review of the Year 2021
2021 was a busy and important year for employment law changes and HR issues, and 2022 show no signs of…
1st November 2021 11:00FIND OUT MORE
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PIMFA Live Online Learning: Market Abuse 2022 refresher for Wealth Firms
The FCA expects all firms to have a deep understanding of their market abuse risk, and build control frameworks that…
15th March 2022 09:30FIND OUT MORE
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PIMFA Live Online Learning: Market Abuse – are you doing enough?
The FCA is turning up the heat on Market Abuse. In December 2022, the FCA fined three broker firms £4,775,200…
15th March 2023 09:30FIND OUT MORE
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