Regulatory & Conduct News
ICAEW Regulation and Conduct
Protecting the public by ensuring ICAEW regulated firms and members retain the highest standards of professional conduct
Download ICAEW's 2024 Practice Assurance Monitoring Report, FAQs to help you prepare for PII changes and our Regulatory and Conduct Annual Report. Read the latest disciplinary cases, new Code of Ethics wording and register for upcoming webinars that are relevant to your role.
Key reminders and updates
Take note of the latest disciplinary cases to ensure you or your firm are not making similar mistakes.
ICAEW’s 2024 Practice Assurance Monitoring Report
Read the report to find what issues were identified from more than 1,300 reviews and ensure you’re not making similar, avoidable mistakes.
We have incorporated your feedback and ICAEW Council has approved the final updated wording for sub-section 115 of the Code of Ethics. Find out what will change and read the consultation feedback.
Read our responses to FAQs to help you understand new requirements and assess whether you will need to make changes to your firm’s professional indemnity insurance after 1 September.
Our role is to act in the public interest and strengthen trust in the profession. Find out more in our?Regulatory and Conduct Annual Report 2023/24.
Our experts provide a refresher on investment business regulation. This webinar is relevant for firms who already hold a licence, and for those who want to check whether they need to apply for one. Register to ensure your firm remains compliant.
Anti-money laundering updates
If you missed the live event, you can still listen back to the recording. Presenters included money laundering reporting officers alongside our AML supervision team.
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Proposed amendments to the Companies Act 2006 introduce ID verification to help stamp out money laundering via fake identities.
Audit updates
Respond to our proposal that firms should notify us when appointed as the auditor of certain entities. Deadline 6 September.
Insolvency updates
HMRC has issued a reminder that, as the VAT Insolvency Only mailbox is automated, the subject line must be one of the options stated in the bulletin.
We are finding that insolvency practitioners aren’t making sufficient enquiries to enable them to prepare a correct statement of affairs. Read our tips on ensuring they are accurate and compliant.
Probate updates
Access our proposed probate fee scales for 2025 including our budget and reserved legal services plan, and let us know your feedback. The consultation is open until 27 August.
We explain the importance of recently revised LeO guidance and flag points to consider regarding probate fees.
Register to hear the most common findings from recent monitoring reviews and for an update on the latest regulatory changes.