The 36-page Training & Competence Policy is an FCA-aligned guide for ensuring staff competency in regulated financial activities. Built on the TC Sourcebook, SYSC, and 2025 FCA updates, it fosters a culture of professionalism, reducing compliance risks through structured training and assessments.
It details processes for initial training, CPD, supervision, and competence verification, with customisable templates like assessment forms and training logs. Supporting SMCR accountability, audits, and FCA expectations, it ensures employees meet high standards for client outcomes.
Includes:
Governance and Responsibilities
FCA’s T&C Sourcebook Overview
Competence Requirements for Staff in Regulated Roles
Maintaining Competence – Ongoing Training and CPD
Record-Keeping Obligations
Competence Assessment Framework
Pre-Employment Checks and Fitness & Propriety Assessments
Initial Competence Assessment
Induction and Initial Training Requirements
Training & Development Programme
Supervision and Ongoing Competence
Monitoring and Quality Assurance
Handling Non-Compliance and Remediation
Record-keeping and FCA Reporting
The 36-page Training & Competence Policy is an FCA-aligned guide for ensuring staff competency in regulated financial activities. Built on the TC Sourcebook, SYSC, and 2025 FCA updates, it fosters a culture of professionalism, reducing compliance risks through structured training and assessments.
It details processes for initial training, CPD, supervision, and competence verification, with customisable templates like assessment forms and training logs. Supporting SMCR accountability, audits, and FCA expectations, it ensures employees meet high standards for client outcomes.
Includes:
Governance and Responsibilities
FCA’s T&C Sourcebook Overview
Competence Requirements for Staff in Regulated Roles
Maintaining Competence – Ongoing Training and CPD
Record-Keeping Obligations
Competence Assessment Framework
Pre-Employment Checks and Fitness & Propriety Assessments
Initial Competence Assessment
Induction and Initial Training Requirements
Training & Development Programme
Supervision and Ongoing Competence
Monitoring and Quality Assurance
Handling Non-Compliance and Remediation
Record-keeping and FCA Reporting
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