DPB Licences and Financial Advice - The Right Side of the Line

Objectives

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, to ensure they remain compliant

Key topics

• An overview of the investment business environment
• 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 firms.