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.
DPB (Investment Business) licence information
Make the most of the pension reforms and support your clients with their financial planning. Find out how you can enhance the services you already offer your clients with a DPB (Investment Business) licence.
Application form for becoming an audit affiliate, a DPB affiliate or both.
Information for members and firms with a DPB (Investment Business) licence.
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.
Frequently asked questions on DPB (Investment Business).
As the pensions and investment market becomes ever more complex, the latest guide from the Professional Standards team looks at where you can offer support to your clients.
Order form for the DPB (Investment Business) Handbook order form.
“We do not undertake any investment business so we don’t need a licence” – this is a common response that may underestimate the scope of licensed activities.
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 Compliance Review
This helpsheet provides a checklist of matters firms need to address when they conduct an annual compliance review in accordance with ICAEW’s Designated Professional Body Handbook for licensed firms.
DPB Compliance Review Checklist
Checklist for carrying out a DPB Compliance Review
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 compliance review
This helpsheet provides a checklist of matters firms need to address when they conduct an annual compliance review in accordance with ICAEW’s DPB (Investment Business) Handbook for licensed firms.
The DPB (Investment Business) Handbook sets out the regulations for firms licensed to provide DPB (Investment Business) activities.
DPB Update and Investment Business Gazette
Do you offer fee protection insurance where the client is the insured party? Do you comment on advice given to clients by IFAs? If “yes” in either case, then you need to register!
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.
Updates including FSA survey of DPB licensed firms, firms' eligibility to be DPB licensed and notifying changes within the firm.