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DPB Update

DPB Update is a regulatory update produced by ICAEW's professional standards team. Here you’ll find the latest DPB technical guidance and best practice information. We email all DPB contact principals when a new issue is published. The latest issue and previous issues are also available below.

DPB Update Issue 10 - November 2017

DPB update is for firms that hold a DPB licence with ICAEW. We use the update to bring matters to the attention of DPB licensed firms, in particular to the DPB contact principal.

DPB Update Issue 9 - April 2013

On 1 April 2013 the FSA was replaced by two new regulatory bodies, the Prudential Regulation Authority (PRA) and the Financial Conduct Authority (FCA). The FCA will have the lead regulatory interest in the designated professional body (DPB) regime. This page explains how this change affected DPB licensed firms.

DPB Update Issue 8 - November 2012

DPB update is for firms that hold a DPB licence with ICAEW. We use the update to bring matters to the attention of firms, in particular to the DPB contact principal.

DPB Update Issue 4 - April 2007

Articles include a summary of changes to the DPB Handbook, changes to the certification process for high net worth individuals and sophisticated investors.

DPB Update Issue 2 - April 2003

DPB update covering financial promotions, focusing on practical situations that firms will face on a day-to-day basis, and circumstances in which commissions can be retained.

DPB Update Issue 1 - June 2002

First issue of DPB update, which replaced Investment Business Gazette, afte ICAEW took on a new role as designated professional body looking after 'non-mainstream' investment business.

If you have any questions relating to any of these articles, please contact our technical advisory services team, +44 (0)1908 248 250.