Product Description
Guidance and procedures for firms licensed by the ICAEW to carry out exempt regulated activities.
With significant penalties for those that breach the regulations, it’s critical you have set procedures in place when dealing with investment business.
This CD manual is designed for those firms who are licensed to carry out exempt regulated activities and:
- Do not get involved in investment business;
- Refer their clients to IFAs and take no further role in the advice; or
- Work closely with the IFA to maximise the benefit to their clients.
Complete with ready-to-use templates, letters and forms, our DPB Compliance Manual CD can help you:
- Stay compliant with the latest regulations
- Implement efficient procedures, and
- Generate additional commission incomes
What else is included?
- This latest edition takes into account recent updates that have been made to the ICAEW DPB Handbook.
- Guidance on mortgages has been expanded to include all home finance business activities.
- The manual includes guidance on carrying out due diligence work and information on the corporate finance faculty of the ICAEW.
- Guidance on being an appointed representative of an FSA authorised person / firm.
- Updates related to rights under personal pension schemes which became regulated as securities from 6 April 2007.
- Procedures firms should have in place, such as the need to get specific permission from clients to retain commission, as well as the competence firms need in order to undertake the work (including CPD).
- Excluded activities in trusteeships/personal appointments.
- Definitions of contracts of insurance.
- An example disclosure for carrying out insurance mediation activities.
Please note: SWATUK does not support Office 2000 or older products.
Security Seals on CD Products
All of our CD products have a security seal attached to them. By breaking the seal, you are agreeing to our terms and conditions of sale. You can return your purchase to us in its original condition within 30 days of the date you received the item with its security seal intact and we will issue a full refund for the price you paid for the item. We can only accept the return of opened items (where the security seal has been broken) if they are faulty.
where the security seal has been broken) if they are faulty.
Product Description
Guidance and procedures for firms licensed by the ICAEW to carry out exempt regulated activities.
With significant penalties for those that breach the regulations, it’s critical you have set procedures in place when dealing with investment business.
This CD manual is designed for those firms who are licensed to carry out exempt regulated activities and:
- Do not get involved in investment business;
- Refer their clients to IFAs and take no further role in the advice; or
- Work closely with the IFA to maximise the benefit to their clients.
Complete with ready-to-use templates, letters and forms, our DPB Compliance Manual CD can help you:
- Stay compliant with the latest regulations
- Implement efficient procedures, and
- Generate additional commission incomes
What else is included?
- This latest edition takes into account recent updates that have been made to the ICAEW DPB Handbook.
- Guidance on mortgages has been expanded to include all home finance business activities.
- The manual includes guidance on carrying out due diligence work and information on the corporate finance faculty of the ICAEW.
- Guidance on being an appointed representative of an FSA authorised person / firm.
- Updates related to rights under personal pension schemes which became regulated as securities from 6 April 2007.
- Procedures firms should have in place, such as the need to get specific permission from clients to retain commission, as well as the competence firms need in order to undertake the work (including CPD).
- Excluded activities in trusteeships/personal appointments.
- Definitions of contracts of insurance.
- An example disclosure for carrying out insurance mediation activities.
Please note: SWATUK does not support Office 2000 or older products.
Security Seals on CD Products
All of our CD products have a security seal attached to them. By breaking the seal, you are agreeing to our terms and conditions of sale. You can return your purchase to us in its original condition within 30 days of the date you received the item with its security seal intact and we will issue a full refund for the price you paid for the item. We can only accept the return of opened items (where the security seal has been broken) if they are faulty.
where the security seal has been broken) if they are faulty.