Latest news
Listen again to Professional Refresher: the ICAEW DPB (Designated Professional Body) Licence
- Link
- 30 Aug 2024
Listen to the webinar recording to learn about details of the ICAEW DPB (Designated Professional Body) Licence, along with practical examples to illustrate how it can be used to work collaboratively with FCA regulated financial advisers.
Referral fees and commissions: client consent is your responsibility
- Article
- 05 Feb 2024
If your firm receives referral fees or commissions, you must comply with rigorous client consent and notification requirements. We look at the processes you need to follow and highlight some common pitfalls.
Updated DPB (Investment Business) Handbook
- Link
- 01 Jun 2023
The handbook has been updated to align terminology with ICAEW’s new Disciplinary Bye-laws and regulations, effective 1 June 2023.
2022 DPB monitoring activity
- Link
- 01 Jun 2023
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.
All available issues of DPB Update e-newsletters
DPB Update Issue 14 – January 2023
- Newsletter
- 05 Jan 2023
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.
DPB Update Issue 13 – January 2020
- Newsletter
- 17 Dec 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
- Newsletter
- 20 Aug 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
- Newsletter
- 07 Jun 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
- Newsletter
- 26 Oct 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.
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Further support
Traffic Light Guide to Investment Business Activity
This guide will help firms identify whether a DPB (Investment Business) licence or FCA authorisation is needed to undertake a particular investment activity or whether this can be done without any authorisation under the Financial Services and Markets Act 2000.
Read moreDPB (Investment Business) Handbook
The DPB (Investment Business) Handbook sets out the regulations for firms licensed to provide DPB (Investment Business) activities.
Read more
Requirements of ICAEW DPB (Investment Business) licensed firms
- Helpsheets and support
- 22 Jun 2022
Check your eligibility status
- Helpsheets and support
- 24 Aug 2020