The operating system for introducer-led growth
RQ helps professional firms send, manage, and prove referrals — with built-in compliance, clear tracking, and real visibility across the firm.
What record-keeping requirements apply under DPB regulations?
Category: ICAEW & RQ
DPB regulations require rigorous record-keeping for all investment business activities. Key requirements include: - **Client records** – Details of clients to whom you provide investment services, including suitability assessments and advice given - **Transaction records** – Documentation of all investment transactions arranged or advised upon - **Fee arrangements** – Records of all remuneration received for investment business activities - **Complaints** – Full records of any client complaints and their resolution - **Compliance monitoring** – Evidence of ongoing compliance checks and reviews - **Retention period** – Most records must be kept for a minimum of 6 years RQ automatically creates comprehensive audit trails for all referral activities, helping firms meet their documentation obligations under the DPB Handbook.