DPB Update

See what DPB monitoring reviews in 2022 revealed and what’s changed in the DPB (Investment Business) Handbook. Find out about upcoming changes to CPD and access other resources and updates from the Professional Standards Department.

Help your DPB licensed firm remain compliant by accessing the latest information and resources. Read our guidance on referrals to financial advisers, review the recently reissued Traffic Light Guide which helps identify whether a DPB licence or FCA authorisation is needed and access other compliance tips in the latest DPB Update.

New resources are now available to help your firm prepare for its next quality assurance monitoring visit and remain compliant with the Designated Professional (DPB) Investment Business Handbook.

The revised DPB (Investment Business) Handbook that applies from 1 October 2018 has been approved by the FCA and is now available on the ICAEW website. This update seeks to identify the main implications of changes to the handbook for all DPB licensed firms.

An update on ICAEW’s approach to implementing the Insurance Distribution Directive and five key changes DPB licensed firms need to start planning for now.

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.