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This is a test version of our website! Please navigate to our main site here www.mercia-group.com
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.
The latest 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 Andy Holton at andy.holton@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.
The manuals are available online so internet access is required.
Once the manual is purchased it will be available on the Mercia website in the my account section to browse and download if required, for further details on how to navigate methodology products please download our guide.
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.