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Useful Documents

This page has further documents that applicants and licensed firms might find useful.

The DPB Board have produced a Guide to the DPB regime which summarises many aspects.

The Board has also produced style forms to help firms in investigating the identity of clients and analyse the risk for Anti-Money Laundering purposes. Forms for pension trustees and non-trustees are available to download. These forms are simply guides and do not constitute legal advice. While care has been taken to ensure that they are accurate, up to date and useful, the IFoA will not accept any legal liability in relation to their content.

Pension Trustee Clients Form

Companies/ Non-Trustee Client Form


Compliance Bulletins were produced prior to the publication of the DPB Guide. No Compliance Bulletin remains in force.

This listing provides historic Compliance Bulletins and Bulletins which are no longer in force.

  Compliance Bulletins
30 (February 2016) Anti-Money Laundering Cover Note
29 (May 2014) Anti Money Laundering
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
23 (October 2011) Anti Money Laundering
22 (May 2010) Anti-Money Laundering
21 (September 2009) Data Security
20 (March 2009) Professional Indemnity Insurance for Insurance Mediation Activities
19 (August 2008) Anti-Money Laundering
18 (September 2007) Fit and Proper Requirements
17 (September 2007) Money Laundering
16 (April 2006) Group Personal Pensions and Stakeholder Pension Schemes
15 (January 2006) MiFD
14 (May 2005)

EPF Register, Compliance Plan

Compliance Plan Requirements

13 (December 2004) Insurance Mediation Directive
12 (October 2004) Client Money
11 (July 2004) Occupational Pension Schemes
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)

IMD

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)

APFs

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@actuaries.org.uk

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

+44 (0) 131 255 0826

Filter or search events

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Events calendar

  • Implications of 2019 IFRS 17 Exposure Draft

    Staple Inn Hall, High Holborn, London, WC1V 7QJ
    24 July 2019

    Fully booked.

    The International Accounting Standards Board (IASB) recently published an Exposure Draft (ED) of limited changes to its insurance contracts standard IFRS 17, effective date 2022.

  • Insurance Investment Roundtable with the IFoA & PRA - 25 July 2019

    EY Offices 1 More London Place London, SE1 2AF
    25 July 2019

    Fully booked.

    The IFoA hosts regular roundtable meetings with the PRA on best practice in insurance investment and the application of the Prudent Person Principle, which governs insurance investment under Solvency II.

  • SIAS Event: Climate Zero to Climate Hero

    Staple Inn Hall, High Holborn, London, WC1V 7QJ
    3 September 2019 - 4 September 2019

    Spaces available

    An introductory session to help you get ahead with climate change.

    • Science, terminology and initiatives: handy facts to keep in your back pocket 
    • Getting your point across: how to influence people and avoid common traps and pitfalls
    • Taking action: what are actuaries expected to do...and what are we actually doing?
  • KSS event – The Regulatory Perspective

    Deloitte Saltire Court 20 Castle Terrace Edinburgh EH1 2EG
    5 September 2019

    Spaces available

    This KSS talk, presented by the FCA Head of Department in Scotland, will focus on the following 3 main areas:

    • FCA business plan priorities
    • The future of regulation
    • FCA Engagement in Scotland
  • Sessional Research Event - Risk Margin Working Party

    Staple Inn Hall, High Holborn London, WC1V 7QJ
    9 September 2019

    Spaces available

    For life insurers in the UK, the risk margin is one of the most controversial aspects of the Solvency II regime. Following its implementation, the risk margin came under considerable criticism for being too large and too sensitive to interest rate movements. These criticisms are particularly valid for annuity business – such business is of great significance to the national system for retirement provision. This criticism has led to political interest, and the risk margin was a major element of the Treasury Committee inquiry into Solvency II.

  • GIRO Conference 2019

    EICC, The Exchange, 150 Morrison St, Edinburgh EH3 8EE
    24-26 September 2019
    Spaces available

    GIRO is attended annually by over 800 delegates and speakers who are keen to discuss key topics such as Pricing, Reserving, Modelling and the future of the insurance industry. GIRO 2018 was a huge success and we have opened bookings early for what we hope will be another brilliant conference at the EICC in Edinburgh this year. 

     

  • The Future of the Actuarial Profession

    Staple Inn Hall, High Holborn London WC1V 7QJ
    3 October 2019

    Fully booked.

     

    Three actuaries – and CEOs – discuss their views on how the business world is changing and what that might mean for actuaries in the future.

  • Spaces available

    Have you ever thought about working in wider fields? Would you like to play a role in the fight against climate change to make the planet better? 

    It can be difficult to do this - but seeing an example you can follow can make it more realistic. In this ‘green’ case study a template is outlined to show how actuaries can apply their skills more broadly - and in doing so, to make a difference.

  • Sessional Meeting - Autonomous Vehicles and impacts on the wider insurance industry

    Staple Inn, High Holborn, London WC1V 7QJ         
    28 October 2019

    Spaces available

    The Institute and Faculty of Actuaries is running a sessional meeting on autonomous vehicles on 28th October.  The session will showcase the work of the IFoA “Autonomous Vehicles” working party alongside a number of expert external presenters. 

  • Life Conference 2019

    The Convention Centre Dublin, Spencer Dock, North Wall Quay, Dublin 1
    20-22 November 2019
    Spaces available

    The Life Conference is the premier event for professionals interested in life insurance.  Offering a wide range of workshops and plenary sessions it’s the perfect opportunity to discover what’s hot and current in life insurance ensuring you get up to date on the latest thinking and innovation whilst meeting and exchanging ideas with a broad range of professionals.

  • Autumn Lecture 2019, London - Rt Hon Nicky Morgan MP

    Lincoln's Inn The Treasury Office, London WC2A 3TL
    2 December 2019

    Fully booked.

    The IFoA is pleased to announce that this year’s Autumn Lecture will feature the Rt Hon Nicky Morgan MP as its guest speaker.  Nicky has previously served as Financial Secretary to the Treasury and Minister for Women. She now chairs the Treasury Select Committee whose remit is to examine the expenditure, administration and policy of HM Treasury, along with all of its agencies and associated bodies.

  • Autumn Lecture 2019: Live Streaming

    Webinar 
    2 December 2019

    Spaces available

    Watch the live stream of this year's Autumn Lecture with guest speaker Rt Hon Nicky Morgan MP.