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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.

2022 DPB monitoring activity

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.

Updated DPB (Investment Business) Handbook

The handbook has been updated to align terminology with ICAEW’s new Disciplinary Bye-laws and regulations, effective 1 June 2023.

Financial promotions: the right side of the rules

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

Webinar recordings are available on ICAEW’s DPB (Investment Business) resources webpage to support our firms.

Latest news from the Professional Standards Department

CPD is changing

Revised CPD Regulations will place specific requirements on firms from 1 November 2023. Guidance and details on what steps to take are available on our dedicated web page for firms.

Changes to ICAEW's disciplinary process

On 1 June 2023, revisions to ICAEW's disciplinary framework came into effect. We break down what’s changed including updates to the disciplinary and appeals processes.

Regulation in times of change

ICAEW's regulatory and conduct responsibilities are delivered by the Professional Standards Department (PSD). Our role is to strengthen trust and protect the public by following the 3Es: Enable, Evaluate and Enforce. Read more about our strategy, activities, and the oversight of ICAEW's regulatory and conduct role in the Regulatory and Conduct Report 2022–2023.

Review of ICAEW's Professional Indemnity Insurance Regulations

ICAEW is conducting a review of its professional indemnity insurance requirements. The aim is to ensure that the arrangements remain fit for purpose and provide adequate protection to the public while being mindful of the cost to the profession. The review ends 30 June.

Quality Assurance monitoring feedback results for Q1

Find out what our firms thought of the monitoring review process in the first quarter of 2023.

Strength through diversity: building better committees

Kim Nyawira, Head of Committees and Tribunals at ICAEW, tells us about some recent initiatives to broaden opportunity and bring greater diversity of thought and experience to the regulatory and disciplinary committees.

Useful links

Keep updated

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