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Compliance bulletins

Compliance Bulletins provide further guidance on the DPB handbook, changing legislation or common issues raised in our monitoring of firms

This listing provides current Compliance Bulletins and Bulletins which are no longer in force.

30 (February 2016) Anti-Money Laundering
Cover note
28 (May 2014) Contract based pensions: GPPs,, SIPPs and Stakeholder Pensions
27 (May 2014) Provision of Services Regulations
26 (January 2013) Retail Distribution Review and Independent Advice
25 (December 2012) Effective Complaints Procedures
24 (December 2012) Purchase of Annuities
21 (September 2009) Data Security
18 (September 2007) Fit and Proper Requirements
16 (April 2006) Group Personal Pensions and Stakeholder Pension Schemes
12 (October 2004) Client Money
11 (July 2004) Occupational Pension Schemes
No longer in force  
29 (May 2014) Anti Money Laundering
23 (October 2011) Anti Money Laundering
22 (May 2010) Anti-Money Laundering
20 (March 2009) Professional Indemnity Insurance for Insurance Mediation Activities
19 (August 2008) Anti-Money Laundering
17 (September 2007) Money Laundering
15 (January 2006) MiFD
14 (May 2005)

EPF Register, Compliance Plan

Compliance Plan Requirements

13 (December 2004) Insurance Mediation Directive
10 (March 2004) Compensation Scheme
9 (February 2004) Professional Indemnity Insurance
8 (December 2003)

IMD, Money Laundering

FSA flyer: Application Pack for Persons Applying for Authorisation to Carry Out Mortgage and General Insurance Business

Anti-Money Laundering Requirements for Licensed Firms. Revised App 3

Pension Transfers from Occupational Pension Schemes in Wind-Up. Letter from FSA. November 2003

Training and Competence and Conduct of Business in Authorised Professional Firms. Letter from FSA. 28 November 2003

Note on PII Requirements

Complainant Guide

7 (September 2003)


Extending the Part XX Regime for Exempt Professional Firms Carrying on Insurance Mediation and Mortgage Activities. Newsletter from the FSA. July 2003

6 (June 2003)


Changes to the Corporate or Legal Status of Authorised Professional Firms Post N2. Note and Covering Letter from the FSA. 18 February 2003

5 (January 2003)

Introductions, Money Laundering

Note on Anti-Money Laundering Requirements from DPB Firms. January 2003

Commission Paid by IFAs to Non-Authorised Introducer Firms. Note and Covering Letter from the FSA. 18 November 2002

4 (November 2002) Professional Indemnity Insurance
3 (October 2002)

Professional Indemnity Insurance

Note for Firms in Relation to Professional Indemnity Insurance. October 2002

2 (June 2002) Professional Indemnity Insurance
1 (March 2002) Self-Invested Personal Pensions

The Institute and Faculty of Actuaries (IFoA) is not responsible for the content of the documents provided by other organisations which are given for information purposes. You should check with the relevant body for the most up to date issue of the document.

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Contact Details

For more details, or to make an application or enquiry, please email or write to the DPB Manager

DPB Manager, Institute and Faculty of Actuaries, Level 2 Exchange Crescent, 7 Conference Square, Edinburgh, EH3 8RA

+44 (0) 131 255 0826