Headlines
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.
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.
Financial promotions: the right side of the rules
- Article
- 23 Jan 2023
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
- Link
- 01 Jan 2023
Webinar recordings are available on ICAEW’s DPB (Investment Business) resources webpage to support our firms.
Latest news from the Professional Standards Department
Firms' guide to CPD
- Helpsheets and support
- 24 Apr 2023
ICAEW’s Regulations place specific responsibilities on ICAEW member firms/other firms. Read about the requirements and the actions firms should take to ensure their affected members of staff are compliant.
Changes to ICAEW's disciplinary process from 1 June 2023
- Article
- 18 Apr 2023
On 1 June 2023, revisions to ICAEW's disciplinary framework will come into effect. Here is an overview of the changes.
Regulation in times of change
- Link
- 28 Apr 2023
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.
Professional Indemnity Insurance Consultation
- Link
- 19 Oct 2023
The ICAEW Regulatory Board is consulting on proposed changes to ICAEW's PII arrangements for transparency and to ensure that they are consistent with its duty to act in the public interest. We encourage you to comment on the proposed changes including our analysis of the potential challenges and impact. The consultation will run between 18 October and 14 December 2023.
Quality Assurance monitoring feedback results for 2022
- Link
- 13 Feb 2023
Find out what our firms thought of the monitoring review process in 2022.
Strength through diversity: building better committees
- Article
- 06 Apr 2023
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.
Keep updated
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Further resources
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