DPB (Investment Business) resources

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.

Traffic Light Guide to Investment Business Activity – reissued November 2021

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 (the Act).

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) Handbook for licensed firms.

DPB (Investment Business) Essentials

Hints and tips to ensure your firm is making the most of a DPB (Investment Business) licence and what licensed firms should be aware of. An overview of common findings from our review of firms.

Introduction to financial advisers

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

Fee protection insurance

This helpsheet provides guidance regarding fee protection insurance.

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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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