FCA Training and Competence Manual

Training & Competence Manual

£145.00

All Advisers who are involved in regulated activities must comply with the Financial Conduct Authority (FCA) Training & Competence Sourcebook (TC) and Systems & Controls Sourcebook (SYSC) in order to achieve, maintain and improve competence.

The purpose of this Training & Competence (T&C) Manual is to establish and provide a process for authorising, training, supervising and monitoring Advisers who are employed by the firm by setting out standards that must be achieved and maintained by individuals.  This manual is aimed at Mortgage Brokers, however can be adjusted for Equity Release Brokers and Protection Brokers.

FORMAT: All documents are downloadable via email upon receipt of payment.

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Description

WORD DOCUMENT – 17 PAGES – Last Updated: April 2024

INDEX OF CONTENTS

  1. Introduction
    1. Purpose of the T&C Manual
    2. Application of the T&C Manual
    3. Permitted Activities of Advisers
    4. Roles and Responsibilities
  2. Recruitment and Assessing Competence
    1. Employee References
    2. Conduct and Contracts
    3. Administrative Staff
    4. Termination of Appointment
    5. Outside Business Interests
  3. Attaining Competence
    1. Trainee Mortgage Adviser
    2. Trainee Insurance Adviser
  4. Maintaining Competence
    1. On-going Supervision
  5. Training and Monitoring Activities
    1. Key Performance Indicators
    2. Desk Based Monitoring
    3. Monitoring Purpose/Standards
  6. Failure Policy
  7. Supervisor
  8. General Issues
    1. Continuous Professional Development (CPD)
    2. Continuous Professional Development (CPD) – Insurance Requirements
    3. Absence Policy

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