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Practice management

If you’re managing a practice, you need to comply with regulations covering areas such as PII, clients’ money and anti-money laundering. You also need to take account of the Code of Ethics and the Practice Assurance regulations and related Practice Assurance standards.

Consumer credit regulations

The DPB (Consumer Credit) Handbook sets out the regulations for firms to provide consumer credit services.

Documents and records

Guidance for members in practice on which documents the member owns; how long documents should be kept; if the client owns the documents, whether the member always has to hand them over; and the member's obligations to allow others access to documents.

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