Skip to main content

FCA Training & Competence Guidance

At Ecompli we provide FCA Training & Competence Guidance and Documents to firms who are involved in regulated activities who 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.

Please note: The Insurance Distribution Directive states that anyone who is involved in the distribution of insurance must complete 15 hours CPD per year.  Full details are included in our T&C Manuals.

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.

You can purchase now or join our member’s club and gain access to all our documents, manuals, policies and templates.

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 General Insurance Brokers who provide advice to their customers.

You can purchase now or join our member’s club and gain access to all our documents, manuals, policies and templates.

The purpose of this Training & Competence (T&C) Manual is to establish and provide a process for authorising, training, supervising and monitoring individuals who are employed by the firm by setting out standards that must be achieved and maintained by individuals.  This manual is aimed at General Insurance Brokers who arrange insurance but do not provide advice.

You can purchase now or join our member’s club and gain access to all our documents, manuals, policies and templates.

The Financial Conduct Authority do not prescribe what training that a firm must complete.  However, the firm is responsible for ensuring training and competence is carried out and maintained and that there are sufficient records to evidence this.  In this bundle you will find a selection of documents that can assist firm’s record training.  We have also provided examples so that you can see how certain documents should be completed.

You can purchase now or join our member’s club and gain access to all our documents, manuals, policies and templates.

Shop Online

  • Training & Competence Documents

    £135.00
  • Training & Competence Manual

    £145.00
  • Training & Competence Manual – General Insurance Brokers (Advised)

    £145.00
  • Training & Competence Manual – General Insurance Brokers (Non-Advised)

    £145.00