Designated Professional Body (Investment Business)

by Steve Collings

FSMA 2000 makes provision for the designation of certain professional bodies, whose member firms can take advantage of an exemption from the general prohibition of carrying on activities that are regulated by the FSMA.

price £75+vat
cpd hours 1 CPD hour
access 120 days' access

This module will enable you to

  • Describe the key elements of the DPB Handbook.
  • Specify the activities that are regulated.
  • Specify the professional services that are not regulated.
  • Define what firms can and cannot do.

About the module

Designated Professional Body (Investment Business) refers to organisations authorized by regulatory bodies like the Financial Conduct Authority (FCA) to supervise and regulate the conduct of professionals and firms involved in investment business activities.

These bodies ensure compliance with industry standards and regulations, enhancing investor protection and maintaining the integrity of financial markets. Their oversight plays a crucial role in upholding professionalism and ethical conduct within the investment sector.

Look inside

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Contents

  • Designated Professional Body (Investment Business)
    • Designated professional bodies
    • Understanding the rules
    • The ICAEW DBP Handbook
    • Types of regulated activity
    • What firms are allowed to do - the full answer
    • What firms are allowed to do - the short answer
    • What firms are not allowed to do
    • What can go wrong
    • Other professional services

How it works

Author

Steve Collings

Steve is Director at Leavitt Walmsley Associates, a firm of Certified Chartered Accountants. He is an internationally recognised speaker, writer and commentator on all matters to do with financial reporting and auditing. Steve is a prolific author, having written over 25 books and currently represents the North West of England on ACCA’s Practice Network Panel.

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Access to this course
Total CPD unitshourshours800+ unitshourshours
Access period12 months
Audit-proof CPD completion certificate
Immediate access to our entire CPD catalogue
Exclusive news and CPD every week plus monthly webinars, all year round
Account manager on hand to support your team's needs
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Why not upgrade?

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Course

Need just a few unitshourshours?
Access to this course
Total CPD unitshourshours1 unitshourshours
Access period120 days
Audit-proof CPD completion certificate
Immediate access to our entire CPD catalogue
Exclusive news and CPD every week plus monthly webinars, all year round
Account manager on hand to support your team's needs

Why not upgrade?

Find the best way to complete your CPD

Pick n Mix

All you need for this year's CPD.
Access to this course
Total CPD unitshourshours21 units20 hours21 hours
Access period120 days
Audit-proof CPD completion certificate
Immediate access to our entire CPD catalogue
Exclusive news and CPD every week plus monthly webinars, all year round
Account manager on hand to support your team's needs
Learn more

Why not upgrade?

Find the best way to complete your CPD

Team

Keep your whole team up to date.
Access to this course
Total CPD unitshourshours800+ unitshourshours
Access period12+ months
Audit-proof CPD completion certificate
Immediate access to our entire CPD catalogue
Exclusive news and CPD every week plus monthly webinars, all year round
Account manager on hand to support your team's needs
Learn more

Why not upgrade?

Find the best way to complete your CPD

Licence

Recommended

All you need for this year and more.
Access to this course
Total CPD unitshourshours800+ unitshourshours
Access period12 months
Audit-proof CPD completion certificate
Immediate access to our entire CPD catalogue
Exclusive news and CPD every week plus monthly webinars, all year round
Account manager on hand to support your team's needs
Learn more

Course

Need just a few unitshourshours?
Access to this course
Total CPD unitshourshours1 unitshourshours
Access period120 days
Audit-proof CPD completion certificate
Immediate access to our entire CPD catalogue
Exclusive news and CPD every week plus monthly webinars, all year round
Account manager on hand to support your team's needs

Pick n Mix

All you need for this year's CPD.
Access to this course
Total CPD unitshourshours21 units20 hours21 hours
Access period120 days
Audit-proof CPD completion certificate
Immediate access to our entire CPD catalogue
Exclusive news and CPD every week plus monthly webinars, all year round
Account manager on hand to support your team's needs
Learn more

Team

Keep your whole team up to date.
Access to this course
Total CPD unitshourshours800+ unitshourshours
Access period12+ months
Audit-proof CPD completion certificate
Immediate access to our entire CPD catalogue
Exclusive news and CPD every week plus monthly webinars, all year round
Account manager on hand to support your team's needs
Learn more

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