DPB Update
On this page, find past issues of DPB Update...
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.
On this page, find past issues of DPB Update...
See what DPB monitoring reviews in 2022 revealed and what’s changed in the DPB (Investment Business) Handbook. Find out about upcoming changes to CPD and access other resources and updates from the Professional Standards Department.
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.
ICAEW DPB (Investment Business) licensed firms are required to comply with the DPB (Investment Business) Handbook and be monitored to ensure your firm is operating within the scope and eligibility criteria of your licence.
If your firm wishes to conduct DPB (Investment Business) activities, it must have a licence from ICAEW.
There is a wide range of useful resources available for our ICAEW DPB (Investment Business) firms.
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.
Application form for becoming an audit affiliate, a DPB affiliate or both.
Information for members and firms with a DPB (Investment Business) licence.
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.
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 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.
Frequently asked questions on DPB (Investment Business).
Order form for the DPB (Investment Business) Handbook order form.
Checklist for carrying out a 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.
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.
The DPB (Investment Business) Handbook sets out the regulations for firms licensed to provide DPB (Investment Business) activities.
DPB Update is a regulatory update produced by ICAEW's professional standards team. Here you’ll find the latest DPB technical guidance and best practice information. We email all DPB contact principals when a new issue is published. The latest issue and previous issues are also available below.
Designated Professional Body investment business handbook.