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This listing provides historic Compliance Bulletins and Bulletins which are no longer in force.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


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

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Events calendar

  • SIAS Event: Navigating Organisational Politics Positively

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

    Spaces available

    The term 'office politics' usually has a lot of negative connotations and indeed an inability to be able to navigate an organisation's formal processes and interact effectively with others at work can have far reaching adverse consequences.

  • Spaces available

    Public scrutiny of what investment funds deliver for consumers continues to be high profile, with the FCA’s Asset Management Market Study requiring fund managers to make (and publish) an annual assessment of value for authorised funds from the end of 2019.

  • Reimagining ageing

    Staple Inn Hall, High Holborn London WC1V 7Q
    14 June 2019

    Spaces available

    Reimagining ageing, hosted by the Institute and Faculty of Actuaries, in partnership with the ILC

  • Spaces available

    Increasing global concern over the impact of climate change has recently led to public scrutiny over the adequacy of existing risk management practices by insurance firms and pension schemes in dealing with these challenges, that potentially impact both individual actuaries and the IFOA generally.


  • Pensions Conference 2019

    Bristol Marriott Hotel City Centre, 2 Lower Castle Street, Old Market, Bristol, BS1 3AD
    18-19 June 2019
    Spaces available

    Covering current topics and industry trends, the conference also includes a pre-conference evening dinner (18 June) giving you the opportunity to develop your network. 

  • KSS event – FinTech and The Actuarial Profession

    EY, Atria One, 144 Morrison Street, Edinburgh
    19 June 2019

    Spaces available

    This KSS talk from FinTech Scotland's CEO will explore the mission to create an integrated Fintech ecosystem through provision of funding, support, infrastructure and talent that recognises and responds to the needs of all stakeholders - and the overarching aim for Scotland to be one of the top 5 Fintech global leaders by 2020.

    To book your place, please email 

  • Current Issues in General Insurance (CIGI) 2019

    Inmarsat, 99 City Road, London, EC1Y 1BJ
    19 June 2019

    Spaces available

    CIGI is a well-established one-day seminar designed to increase awareness and encourage discussion on a variety of topical issues across the general insurance industry. 

    There will be an excellent and diverse line-up of speakers to provide a variety of perspectives and challenge covering technical and professional areas. 

  • Cass Event – New Thinking about Deferred Annuities

    Cass Business School, Executive Education Facilities 200 Aldersgate St, London EC1A 4HD
    21 June 2019

    Spaces available

    Our motivation for discussing this important subject comes from some exciting recent research which has analysed the impact of behavioural factors on the decision to purchase an annuity. This work has shown that behavioural factors can explain the well-known low demand for immediate annuities but this research also identifies an important opportunity in relation to deferred annuities (DA). The research suggests that these factors lead to positive incentives to purchase a DA and that, for longer deferred periods, a DA could be an attractive product for both consumers and insurers.

  • IFoA/SAS Joint Professional Skills Training – Singapore

    Room 903, NTUC Centre, Level 9, One Marina Boulevard, Singapore 018989
    25 June 2019

    Spaces available

    The Institute and Faculty of Actuaries (IFoA) and Singapore Actuarial Society (SAS) are organising a joint Professional Skills Training (PST) in Singapore. This session is suitable for actuaries working in any area (i.e. it is not specifically aimed at Life, GI or any other technical discipline) and is interactive, so you should come along prepared to take part in the discussions.

  • AGM and Presidential Address 2019 + Volunteer and Member Drinks Reception

    The Hub  Castlehill Edinburgh EH1 2NE
    26 June 2019

    Spaces available

    Notice is hereby given that the ANNUAL GENERAL MEETING of the INSTITUTE AND FACULTY OF ACTUARIES will be held at The Hub, Edinburgh on Wednesday 26 June 2019 at 16.30 (Preceded by tea from 16.00) and followed by a PRESIDENTIAL ADDRESS given by John Taylor.

  • IFAM event - Actuarial Teachers’ & Researchers’ Conference 2019

    Institute for Financial and Actuarial Mathematics Department of Mathematical  Sciences The University of Liverpool Mathematical Sciences Building Peach Street Liverpool, L69 7ZL
    27 June 2019 - 29 June 2019

    Spaces available

    The Institute for Financial and Actuarial Mathematics (IFAM) at the University of Liverpool is pleased to host the 2019 Actuarial Teachers’ and Researchers’ Conference from 27-28 June 2019. This annual two-day event has been running annually now for many years, each time hosted by a different university, and provides all those interested in actuarial research and education a great opportunity to share their ideas and catch up on the latest developments.

  • IFoA/ASM Joint Professional Skills Training – Kuala Lumpur

    Menara AIA, Auditorium, 99 Jalan Ampang, 50450, Kuala Lumpur
    28 June 2019

    Spaces available

    The Institute and Faculty of Actuaries (IFoA) and Actuarial Society of Malaysia (ASM) are organising a joint Professional Skills Training (PST) in Kuala Lumpur. This session is suitable for actuaries working in any area (i.e. it is not specifically aimed at Life, GI or any other technical discipline) and is interactive, so you should come along prepared to take part in the discussions.

  • SIAS: The Impact of Air Pollution on Health and Life Expectancy

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

    Spaces available

    Air pollution has gained increasing attention lately. Nicola Oliver, head of longevity and mortality research for Medical Intelligence, will discuss not only the impacts of air pollution on health and life expectancy but also how as an industry we should be addressing it.

  • 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.