My Account
Basket (0)
Contact Us Email Newsletters
You are here: Manuals  >  SWAT UK Products  >  DPB Compliance Manual

The DPB Compliance Manual

About the DPB Compliance Manual

SWAT’s DPB Compliance Manual (online) provides practical guidance and ready-to-use templates for firms licensed by the ICAEW to carry out exempt regulated activities.  

With strict penalties for those that breach the regulations, it’s critical you have set procedures in place when dealing with investment business.

In addition to commentary explaining the regulatory requirements, the manual includes specimen documentation that will assist you in demonstrating compliance.

DPB Product Information

The DPB Compliance Manual (online) is a 12 month subscription service. The content of the manual is contained on a single website, allowing you to access the manual anywhere in the world, from wherever you have access to the internet. Plus, your subscription provides firm-wide access meaning everyone in your firm can access the site.

SWAT continuously updates the manual. Previous updates have included Consumer Credit, Auto Enrolment and Pensions.

In particular, the DPB Compliance manual covers the areas of:

  • The regulatory framework
  • Critical procedures
  • Whole firm procedures
  • Referring work to third parties
  • Advising and arranging deals
  • Corporate finance activities
  • General insurance
  • Ready-to-use templates, checklists and forms

Click here to see the latest updates to the DPB Compliance Manual

Buy online: £200+VAT

10% discount for SWAT UK Full Members



Price: £200+VAT*

10% discount for SWAT Full Members


Click here to browse the
entire content of the manual.