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RQ helps professional firms send, manage, and prove referrals — with built-in compliance, clear tracking, and real visibility across the firm.
What happens during an ICAEW DPB compliance inspection?
Category: ICAEW & RQ
ICAEW conducts regular compliance inspections of firms holding DPB licences to ensure ongoing adherence to the DPB Handbook. During an inspection, the ICAEW review team will typically: - **Review documentation** – Examine your client files, transaction records, and compliance policies - **Assess competence** – Verify that staff conducting investment activities are appropriately qualified - **Check client money** – If applicable, review how client funds are handled and safeguarded - **Interview staff** – Speak with key individuals about your compliance arrangements - **Examine complaints** – Review how any client complaints have been handled - **Test controls** – Assess whether your compliance monitoring is effective Having well-organised records and clear processes, such as those provided by RQ, helps ensure smooth inspections and demonstrates good regulatory standing.