• Chapter 1 - The Firm And Its Licence
  • Chapter 2 - The Regulatory Framework
  • Chapter 3 - Critical Procedures
  • Chapter 4 - Whole Firm Procedures
  • Chapter 5 - Referring Work To Permitted Third Parties
  • Chapter 6 - Advising and Arranging Deals
  • Chapter 7 - Corporate Finance Activities
  • Chapter 8 - Trusteeships And Powers Of Attorney
  • Chapter 9 - The DPB Contact Partner
  • Chapter 10 - Guidance On Home Finance Business Activities
  • Chapter 11 - General Insurance
  • Chapter 12 - Distance Marketing Regulations
  • Chapter 13 - Guidance On Professional Services In Relation To HMRC Investigations
  • Chapter 13A – Consumer Credit
  • Chapter 14 - Specimen Documents

Latest Updates to the DPB Compliance Manual

 

Date Updated Version  Why Updated? Track Changes Version
       
September 2018 Section 1.1.1 Changes to the DPB regime that apply from 1 October 2018

Explanation of changes to the DPB regime that apply from 1 October 2018 as a result of implementation of the Insurance Distribution Directive.

NEW SECTION 
       
February 2018  Chapter 13A - Consumer Credit General update of section 13A to give more detailed guidance on applying the content of the Consumer Credit Handbook  NA 
       
February 2016  Chapter 13A - Consumer Credit  New Chapter NA
       
August 2015
Chapter 1 - Section 1.4.2 - Activities New section added on Pensions and Auto Enrolment
Chapter 1 - track change
  Chapter 2 - Section 2.1.6 - Pensions and Auto Enrolment New section added on Pensions and Auto Enrolment  Chapter 2 - track change
  Chapter 3 -  Section 3.1 - Restrictions on Regulated Activity Reference added to ICAEW annual return
Chapter 3 - track change
  Chapter 3 - Section 3.2.5 - Commission or Other Benefits Section updated for FCA retail distribution review  Chapter 3 - track change
  Chapter 4 - Section 4.1.3 - Money Laundering
Chapter 4 - Section 4.1.4 - CPD
Reference added to the Bribery Act
Chapter 4 - track change
  Chapter 5 - Section 5.1 - Referring Work to Permitted Third Parties New section 5.1 giving guidance on independent and restricted advisors  Chapter 5 - track change
  Chapter 5 - Section 5.5 - Commission and Other Benefits Including Fee Sharing Section on commission updated to address fee sharing and other benefits  Chapter 5 - track change
  Chapter 7 - Section 7.5 - Financial Promotion Reference added to ICAEW Corporate Finance Faculty guidance  Chapter 7.5- track change
  Chapter 7 - Section 7.7 - Corporate Finance Faculty of The ICAEW   List of available guidance from ICAEW Corporate Finance Faculty updated  Chapter 7.7 - track change
  Chapter 9 - Section 9.2 - DPB Compliance Review Title amended to make clear that addressing DPB requirements  Chapter 9 - track change
  Chapter 10 - Section 10.4 - What Are Firms Allowed To Do Under The DPB Licence? Reference to specific guidance on mortgage advice added  Chapter 10 - track change 
  Specimen letter 14.5.7 - Specimen commission/share of fees disclosure letter (excluded activities) Specimen letter amended to address share of fees and other benefits  Specimen letter 14.5.7  - track change 
       
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