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You are here: Manuals  >  SWAT UK Products  >  DPB Compliance Manual

The DPB Compliance Manual

About the DPB Compliance Manual

SWAT UK’s DPB Compliance Manual (online) provides practical guidance and ready-to-use templates for firms licensed by the ICAEW to carry out exempt regulated activities.  

With strict penalties for those that breach the regulations, it’s critical you have set procedures in place when dealing with investment business.

In addition to commentary explaining the regulatory requirements, the manual includes specimen documentation that will assist you in demonstrating compliance.

DPB Product Information

The DPB Compliance Manual (online) is a 12 month subscription service. The content of the manual is contained on a single website, allowing you to access the manual anywhere in the world, from wherever you have access to the internet. Plus, your subscription provides firm-wide access meaning everyone in your firm can access the site.

SWAT UK continuously updates the manual, the latest update in February 2016 and included a new chapter on consumer credit. Previous updates have included Auto Enrolment and Pensions.

In particular, the DPB Compliance manual covers the areas of:

  • The regulatory framework
  • Critical procedures
  • Whole firm procedures
  • Referring work to third parties
  • Advising and arranging deals
  • Corporate finance activities
  • General insurance
  • Ready-to-use templates, checklists and forms

The DPB Compliance Manual was last updated in February 2016.

Click here to see the latest updates to the DPB Compliance Manual

Buy online: £200+VAT

10% discount for SWAT UK Full Members

 

 

Price: £200+VAT*

10% discount for SWATUK Full Members

 

 
Click here to browse the
entire content of the manual.