DPB COMPLIANCE REVIEW
This is a review of matters covered by ICAEW’s Designated Professional Body investment license Handbook.
Why do you need one?
A DPB review is a requirement annually. Most firms do little regulated DPB activity. However, for those who are more active, perhaps in the corporate finance market or in active referrals to Permitted Third Parties, it is valuable to consider compliance in a more detailed way. If you receive commission or fees from your referrals, it is also valuable to consider a compliance review being undertaken externally periodically, if not annually.
How we provide these services
We can review your documents onsite or at our office. We have the ability to review electronic files at our offices. So we can help you discharge your compliance requirements in these challenging times.
We produce a list of queries on the file reviewed and a report for your records. We will discuss with you the file findings.
Where ICAEW requires one as a condition of your License
This can happen as a result of a QAD monitoring visit where the Regulator requires confirmation that processes are improving as a result of their findings. We can help. We draft a report for you to submit to the Regulator.
Get in Touch
If you'd like to explore this service with us