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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.

DPB Update Issue 13 – January 2020

DPB Update 17-12-2019

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 Update Issue 12 - August 2018

DPB Update 20-08-2018

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.

DPB Update Issue 11 - June 2018

DPB Update 07-06-2018

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 Issue 10 - November 2017

DPB Update 26-10-2017

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.

DPB Update Issue 9 - April 2013

DPB Update 04-04-2013

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 Issue 8 - November 2012

DPB Update 01-11-2012

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.

DPB (Investment Business) Handbook

01-12-2011

The DPB (Investment Business) Handbook sets out the regulations for firms licensed to provide DPB (Investment Business) activities.

DPB Update

11-02-2011

DPB Update and Investment Business Gazette

DPB Update Issue 2 - April 2003

DPB Update 01-01-2011

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.

DPB Update Issue 1 - June 2002

DPB Update 01-01-2011

First issue of DPB update, which replaced Investment Business Gazette, afte ICAEW took on a new role as designated professional body looking after 'non-mainstream' investment business.

DPB Update Issue 3 - September 2004

DPB Update 01-01-2011

Special issue of DPB Update, with important information on the regulation of mortgage and general insurance business.

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