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The essential guide to complying with the investment business Regulations
Our Designated Professional Body (Investment Business) Compliance Manual provides guidance and supporting documentation that will help you to establish and maintain investment business compliance procedures within your firm.
Providing a set of simplified procedures to ensure that a firm, licensed by its Designated Professional Body (DPB) to carry out a restricted range of investment business activities, can operate within the confines of that licence, the manual includes:
• General compliance procedures to help ensure that everyone in the firm is aware of the key compliance issues
• Help for firms to satisfy the requirements of their Institute's DPB (Investment Business) licence
• Guidance on referring clients to an IFA, acting as trustee, executor or Power of Attorney for clients and handling corporate finance work
• A wide range of supporting letters and checklists to help you implement DPB investment business procedures within your firm.
January 2022
This update principally dealt with:
June 2021
The manual has been restructure throughout to improve the user experience and to facilitate the new system of product delivery
October 2018
This update principally dealt with:
| Annual subscription fee | |
|---|---|
| Number of principals within the firm - 1* | £155.00 |
| Number of principals within the firm - 2-9* | £185.00 |
| Number of principals within the firm - 10-19* | £230.00 |
For 20 or more principals please contact us at sales@mercia-group.com or on 033 0058 7141.
* Mercia Members receive a 10% discount.
All prices are subject to VAT. Prices are subject to change on 1 July.
Mercia online manuals are updated regularly by our technical staff and you will be notified of any significant regulatory changes by email.
Your subscription will automatically auto-renew on anniversary date, you will be notified by email before your subscription expires and offered the option to opt out of auto-renewal.
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Operating System: Windows 10.
Applications: Full version of Microsoft Office 2010, 2013 and 2016, Adobe Reader.
Note: Windows Office RT, Office Mobile and Office 365 Online are not currently supported.
Office 365 with a locally installed copy of the Office suite is supported.
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Alternatively, call us on 033 0058 7141.
