DPB Compliance Manual ' 2005 Version Out Now!

Posted   1763

SWAT's latest DPB Compliance Manual can help your firm to:

  • stay compliant with the latest regulations;


  • implement efficient procedures, checks and controls; and


  • generate additional commission incomes.

    • If you follow the practical procedures set out in the manual, you will be able to provide investment business services, including general insurance and mortgage advice to your clients. This can be achieved in a cost effective manner, whilst providing your clients with the comfort of having a trusted advisor who can guide them through the regulatory maze.

    Furthermore, by applying the procedures set out in the manual you can help to generate additional commission income from investment business, for very little extra work.

    The ICAEW issued their revised DPB handbook at the end of last year. The main change being the implications of the Financial Services and Markets Act 2000 on licensed DPB firms who provide insurance services to their clients.

    The latest version of the DPB Manual now covers these new areas:

  • General Insurance


  • Mortgages


  • Fees protection insurance

    • In addition to the new sections outlined above, the manual also includes guidance on:

  • The regulatory framework


  • Exempt regulated activities


  • Financial promotions


  • Clients' Money Regulations


  • Commissions


  • Critical procedures


  • Whole firm procedures


  • Third party referrals


  • Advising and arranging deals


  • Corporate finance


  • Trusteeships and power of attorney

    • For the full contents list of the manual please click here.

    You'll also be provided with over 25 specimen letters, forms and checklists with a licence to copy. What's more, the manual is completely flexible, allowing you to tailor it with ease to your firm's own requirements (full guidance on the minimum requirements is included).

    There are many pitfalls involved within the investment business licensing regime, and some heavy penalties for those that breach the regulations. Therefore it's critical that you have set procedures and systems in place, to avoid breaching the rules, and making your firm's partners, or directors, open to criminal proceedings!

    Our DPB Compliance Manual will help ensure you implement the correct DPB procedures in your practice, whilst saving you significant time and effort.

    Written by those responsible for performing SWAT's DPB and FSA compliance reviews, the manual consists of tried and tested practical procedures that are based on years of experience gained in assisting hundreds of small and medium sized practices with their investment business monitoring visits under the old regime, and extensive discussions with the regulators about the implications of the new system.


    Price
    The manual will be dispatched at the end of May and gives exceptional value for money at just £99 (£79 to SWAT Full Members).

    Order Your Copy NOW!
    To order your copy through our secure online shop, please click here.

    Alternatively, you can order your copy by calling us on 01752 725700.