Addressing the T&C Rules

Posted May 22, 2020




 

FAQ: how do we address the T&C rules for advisers?

Well the short answer is that you must undertake a knowledge and skills gap analysis and then create a training plan that addresses these whilst also ensuring all knowledge and skills are kept up to date, record all this and make sure the CPD requirements (at least 35 hours) and the ‘competent employee’ rules are not only met, but can be proven! The relevant rules are contained in the High-level TC Sourcebook in the FCA Handbook, underlining how central these are to the FCA core objectives.

See here for more details 

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