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Home / Webinar / DPB and Consumer Credit: Refresher and Update

Pricing

2020 Member: Included with 2020 Membership

Non member £199.00 + VAT

Presenter

David Norris

About David
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What's Included

  • Expert Knowledge from an Industry-Leading Speaker
  • Verifiable CPD hours
  • CPD Tracking and Certificate
  • Live Webinar (if a future date is listed) with Q&A
  • The Recording of the Event
  • Supporting Materials

Objectives

Many firms want to give a complete service to clients but working with Financial Advisers and dealing with commission is a complex regulatory area.

The course will help those firms with a DPB licence to understand how they can benefit from the rule and the key procedures they need to implement.

Firms that do not have a DPB licence will benefit from an understanding of the work they are excluded from, when working with clients and financial advisors.

Key topics

  • An overview of the investment business environment
  • Identifying regulated investments and regulated activities
  • Implications of the regulations for accountancy firms
  • Necessary procedures where there are Exempt Regulated Activities
  • Risks and procedures when introducing / referring to a financial advisor
  • QAD Review Findings at DPB firms
  • Understanding the Consumer Credit Regulations

Who should attend

Principals in DPB licenced firms, and those responsible for compliance in unlicenced firm.