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Firms who are involved in regulated activities must comply with the FCA Training & Competence Sourcebook (TC) and Systems & Controls Sourcebook (SYSC) in order to achieve, maintain and improve competence.
Principle 3 also requires firms to take reasonable care to organise and control its affairs responsibly and effectively. This is amplified in SYSC which requires firms to establish and maintain such systems and controls as are appropriate to the business. A firms systems and controls include satisfying itself of the suitability of anyone who acts for it. This includes the assessment of an individual's honesty and competence.
Our Training and Competence Manuals and supporting documents are regularly updated to reflect any changes in legislation. This ensures that the firms we support are continually provided with the most up to date information.
|Training & Competence Manual V4||152 KB||DOC||Download|
|Training & Competence Manual (GI) V3||110 KB||DOC||Download|
|Factfind Observation||56 KB||DOC||Download|
|Factfind Observation Example||60 KB||DOC||Download|
|Presentation Observation||58 KB||DOC||Download|
|Presentation Observation Example||63 KB||DOC||Download|
|CPD Form||41 KB||DOC||Download|
|Action Planner||34 KB||DOC||Download|
|Action Planner Example||34 KB||DOC||Download|
|Competence Sign Off Form V3||39 KB||DOC||Download|
|Formal Review||34 KB||DOC||Download|
|One to One Form||36 KB||DOC||Download|
|One to One Example||39 KB||DOC||Download|
|Recruitment Process Checklist||51 KB||DOC||Download|
|Reference Request Letter||26 KB||DOC||Download|
|Training Needs Analysis||35 KB||DOC||Download|
|Training Needs Analysis Example||40 KB||DOC||Download|
|KPI Reveiw Form||21 KB||XLS||Download|
|KPI Review Form Example||20 KB||XLS||Download|
|Supervisor Half Yearly Return||46 KB||DOC||Download|
|Supervisor Half Yearly Return Example||48 KB||DOC||Download|
|General Meeting Note||31 KB||DOC||Download|
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