Designated Professional Body (Investment Business)

(1 review)

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.

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.

Contents

  • Designated Professional Body (Investment Business)

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.

Reviews

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(1 review)
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    HM
    Helen M
    14 Nov 2024
    14 Nov 2024
    It's not an easy area to explain and one that involves a lot of subtle differences. It would be really helpful, and refreshing, to have this written in lay-terms, rather than relying on the Handbook wording (the short 'What you can do' slide was good for this). Given how complex the area is, I think it deserves a 4 hour course. Otherwise it's easy to miss the implications of some of the statements. More practical examples would bring it to life.
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