Stay up to date with the latest DPB guidance and best practice information.

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An explanation of the areas of investment business activity a licensed firm can be involved in.

Guidance on the key components of an annual DPB compliance review, including client file reviews.

This webinar explains the types of insurance that DPB (Investment Business) licensed firms may be able to arrange for their accountancy clients, and the information you must give to clients about the insurance. We also explain the circumstances where firms need FCA authorisation due to the restrictions on what DPB licensed firms can do.

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.

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. We look at the difference between independent and restricted advisers and discuss how you can ensure you stay compliant with ICAEW’s Code of Ethics and legal requirements.

Investment business: keeping on the right side of compliance 
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
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, find out how to get a DPB (Investment Business) licence for another firm.

Guide to monitoring reviews for DPB (Investment Business) licensed firms
This guide is full of practical information on the areas we often find firms need clarity about during our quality assurance monitoring reviews. It covers topics such as the basics of compliance, introductions to financial advisers, which insurance distribution activities can and cannot be offered and guidelines on commenting on financial advice. The format of the guide allows you to work through the potential issues your firm might come across and to create an action plan for each of these.

Auto-enrolment: a guide for members on factors to consider when selecting or advising on a suitable workplace pension scheme 

Regulation deconstructed: a guide to regulated financial advice
This publication gives an insight into financial services regulation, and guidance on identifying suitable regulated financial advisers for your clients.

DPB (Investment Business) compliance review
DPB (Investment Business) compliance review: a checklist of matters firms need to address when they conduct an annual compliance review in accordance with ICAEW’s DPB (Investment Business) Handbookfor licensed firms.

Helpsheet explaining regulations surrounding making introductions to financial advisers and the scope of the Financial Services and Markets Act 2000.

This helpsheet provides guidance regarding fee protection insurance.

Findings from monitoring reviews

All DPB (Investment Business) licensed firms are monitored to ensure they are operating within the scope and eligibility criteria of their licence and that they have appropriate quality control procedures in place.

• Access the infographic to find out what findings were reported in 2023

Practice management resources and regulations

If you're managing a practice, please access our practice resources. You will also need to comply with regulations covering areas such as Professional Indemnity Insurance (PII), clients' money and anti-money laundering.

• Access our practice resources
• Find out more about the regulations 

Regulatory and conduct updates

Be the first to know about new updates by following us on LinkedIn and subscribing to our monthly newsletter, Regulatory & Conduct News.

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ICAEW Personal Financial Planning Community

For those with an interest in personal financial planning, this community is dedicated to this increasingly important sector of the professional advice market. It provides a portal to access relevant content across a range of subjects that are of interest from either a professional and/or personal perspective. The community is open to ICAEW members and those that have a professional interest in this area. There is no joining fee.

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