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Disciplinary update: January 2023
Take note of the latest disciplinary cases to ensure you or your firm are not making similar mistakes.
Professional standards update January 2023
In this month’s update, ICAEW President Julia Penny talks to us about the CPD changes which will take effect later this year, we highlight upcoming regulatory webinars and we also remind you about regulatory changes relating to sanctions, the Register of Overseas Entities and Statement of Insolvency Practice 3.1 (Individual Voluntary Arrangements).
Tracking risk
ICAEW’s new audit risk officer tells us about her role, how she is engaging with firms, and why ‘live’ monitoring is all about preventing problems before they occur.
Insolvency roundup 2022: insights and reminders
Last year saw a return to onsite monitoring of insolvency practitioners (IPs). During a recent Restructuring and Insolvency Community Webinar, Allison Broad and Alison Morgan, from ICAEW’s Quality Assurance Department (QAD), discussed the outcomes of 2022’s reviews, provided some advice on how to avoid others’ mistakes, and urged IPs to help make monitoring visits more efficient
Register of Overseas Entities Regulations – changes effective from 12 January
The amendments are designed to address concerns about the practical difficulties of verifying a person’s status as a beneficial owner.
Richer conversations
Grant Thornton UK LLP used ICAEW’s AML educational drama All Too Familiar as part of mandatory training for its audit practice. Adrian Pike, Partner in the firm’s Technical Team, and Rumiana Neil, Audit Technical Learning Manager, tell us how the film helped to bring online training to life.
CPD for the future: reducing risk, enhancing trust
ICAEW’s revised CPD framework will launch later this year. Ahead of the changes, ICAEW President Julia Penny tells us why changes to the existing CPD Regulations are necessary, why a risk-based approach to CPD is so important and explains how the latest requirements will improve trust and drive standards forward.
Changes to the Statement of Insolvency Practice 3.1 – Individual Voluntary Arrangements
Under the Joint Insolvency Committee’s (JIC’s) strategic work plan Statements of Insolvency Practice (SIPs) are subject to periodic review in order to ensure they remain relevant to changing legislation and market conditions. Following consultations with the profession and other stakeholders, including the Insolvency Service, HMRC and major creditor representatives, a revised version of Statement of Insolvency Practice 3.1 – Individual Voluntary Arrangements (SIP 3.1), has now been approved by the JIC and the Recognised Professional Bodies for implementation with effect from 1 March 2023.
AML - the essentials. Issue 27 January 2023
Read this issue for information on the prohibition on audit services and trust services to Russia, upcoming changes to the Register of Overseas Entities (ROE) Regulations, key points for the accountancy sector from recent changes to the Money Laundering Regulations, the risks of verification work relating to the ROE and access to new resources including a new AMLbites video. We also highlight useful helpline numbers and a demonstration of the upcoming new SARs portal.
DPB Update Issue 14 – January 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.
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Useful links
Please make use of the following resources to ensure you are up-to-date with the latest regulatory information and news: