Welcome to PIMFA REGULATORY Policy & Compliance area
A one stop shop for everything the teams here at PIMFA are currently working on for you and your firm.
Our Service offering
PIMFA have a history of building and maintaining good stakeholder relationships and we continue doing so by building trust, maintaining dialogue and offering our views and expertise to achieve the best outcomes for our members as the collective voice of the industry.
Collaboration is key to the achievement of good regulatory outcomes. Our stakeholders are regulators, government agencies, other trade bodies, industry infrastructures and any other entity involved in the regulatory process.
Our members are the reason we exist as a trade association and are at the heart of everything we do. With this in mind we are one of the few associations to offer a direct point of contact, a team of regulatory subject matter experts and access to our resources on the day to day issues our members face.
We support our members through complex regulatory change, compliance and operations projects by offering:
- Personalised support
- Regulatory analysis, rules interpretation and referrals to the regulator
- Regular engagement in the form of working groups
- Good practice sharing
Publications, technical papers and guides, updates
We help our members plan for the future by:
- Supporting the membership in the formation of industry views
- Drafting consultation responses and performing follow-up engagement
- Influencing the future position of policy
- Engaging the membership in the exploration of new technologies, processes and infrastructures with potential to impact the business (e.g. open wealth)
- Engaging industry experts on relevant topics and trends which impact our membership (e.g. digital assets, fraud)
- Facilitating the sharing of good practice through peer to peer collaboration, which enables your business to understand where you are vis a vis your counterparts
In the last year PIMFA has read and analysed over more than 2,300 pages of Regulation and Policy on behalf of our members.
Topics PIMFA are currently leading on and have had success in are…
- Central Securities Depositories Regulation (CSDR)
- Consumer Duty
- Environmental, Social and Governance (ESG)
- FCA Data Transformation Project
- Financial Promotions
- Future of Advice
- Future of Supervision
- Inclusion, Diversity, Equity
- Insistent Clients
- Investment Firms Prudential Regulation (IFPR)
- Market Abuse
- Markets in Financial Instruments Directive/Regulation (MiFID/MIFIR)
- Money Laundering
- Operational Resilience
- Packaged Retail Insurance & Investment Products (PRIIPS)
- Senior Managers Certification Regime (SMCR)
- Supervisory Framework
- Trading & Settlement
- Vulnerable Customers
Head of Regulatory Policy & Compliance
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