Displaying 1-8 of 8 results
DPB (Investment Business) Monitoring Results 2024
- Report
- 10 Mar 2025
In 2024, we undertook 268 reviews. Find out how our firms performed and learn what resources are available to avoid making some common mistakes.
Listen again to Professional Refresher: the ICAEW DPB (Designated Professional Body) Licence
- Link
- 30 Aug 2024
Listen to the webinar recording to learn about details of the ICAEW DPB (Designated Professional Body) Licence, along with practical examples to illustrate how it can be used to work collaboratively with FCA regulated financial advisers.
Updated DPB (Investment Business) Handbook
- Link
- 01 Jun 2023
The handbook has been updated to align terminology with ICAEW’s new Disciplinary Bye-laws and regulations, effective 1 June 2023.
2022 DPB monitoring activity
- Link
- 01 Jun 2023
In this infographic, see the top 5 regulatory breaches by firms in 2022 and what guidance is available to help ensure you are operating within the scope and eligibility criteria of your licence.
Financial promotions: the right side of the rules
- Article
- 23 Jan 2023
The regulatory requirements around making financial promotions are complex. We look at the core principles and offer some tips to help you avoid falling foul of the rules when you’re communicating with clients about investment opportunities.
Events, webinars and recordings
- Link
- 01 Jan 2023
Webinar recordings are available on ICAEW’s DPB (Investment Business) resources webpage to support our firms.
Investment business: keeping on the right side of compliance
- Article
- 01 Mar 2022
Complying with the DPB (Investment Business) licence requirements needn’t be onerous if you follow some simple good practices. We look at the common problems that come up during ICAEW quality assurance monitoring visits, and offer tips to make sure your firm doesn’t make the same mistakes.
Investment business licensing: expanding your services
- Article
- 14 Jan 2022
Investment business covers a wide range of activities that accountancy firms might carry out as part of their broader client services. In the latest in our series on moving into new regulated areas, we look at what your firm needs to do to get a DPB (Investment Business) licence.
Displaying 1-8 of 8 results