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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.

Referrals to financial advisers: staying compliant

When accountancy firms refer clients to financial advisers, they need to consider a range of regulatory and ethical issues.

Support for DPB licensed firms

There is a wide range of useful resources available for ICAEW DPB (Investment Business) firms.

Update your knowledge

Ensure your firm is operating within the scope and eligibility criteria of your licence.

Enhanced ICAEW membership

From January 2023, all ICAEW members will have access to additional content from the faculties and communities as part of their ICAEW membership. ICAEW affiliates will continue to receive access to all the same resources as currently.

Reissued Traffic Light Guide to investment business activity

Use the guide to identify whether a DPB (Investment Business) licence or FCA authorisation is needed to undertake a particular investment activity. The guide also gives examples of activity that does not require authorisation under the Financial Services and Markets Act 2000.

Investment business: keeping on the right side of compliance

Complying with the requirements of your firm’s DPB (Investment Business) licence needn’t be onerous if you follow some simple good practices.

Investment business licensing: expanding your services

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 how to get a DPB (Investment Business) licence for another firm.

ICAEW regulatory fees

The deadline for the payment of your 2023 DPB (Investment Business) licence fee was 1 January 2023. Renewal notices were emailed to the DPB compliance principal in November, please check your inbox and ensure payment is being arranged.

Useful links

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