Designated Professional Body (Investment Business)
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.
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