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Training & Competence

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.

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.  

Training & Competence Guidance

Training & Competence Manual V7 1 MBDOCDownload
Training & Competence Manual (GI - Advised) V5 1.000 KBDOCDownload
Training & Competence Manual (GI - Non Advised) V5 1.009 KBDOCDownload

Advice Process Observation Documents

Factfind Observation 56 KBDOCDownload
Factfind Observation Example 60 KBDOCDownload
Presentation Observation 58 KBDOCDownload
Presentation Observation Example 63 KBDOCDownload

Continuous Professional Development

CPD Log V2 14 KBXLSDownload

Ongoing Training & Competence Documents

Action Planner 34 KBDOCDownload
Action Planner Example 34 KBDOCDownload
Competence Sign Off Form V3 39 KBDOCDownload
Fit & Proper Declaration 74 KBDOCDownload
Formal Review 34 KBDOCDownload
One to One Form 36 KBDOCDownload
One to One Example 39 KBDOCDownload
Recruitment Process Checklist 51 KBDOCDownload
Reference Request Letter 26 KBDOCDownload

Training Needs Analysis and Key Performance Indicator Documents

Training Needs Analysis 35 KBDOCDownload
Training Needs Analysis Example 40 KBDOCDownload
KPI Review Form 21 KBXLSDownload
KPI Review Form Example 20 KBXLSDownload

Staff Incentives

Staff Incentive Risk Guidance 666 KBDOCDownload

Supervisor Documents

Supervisor Half Yearly Return 46 KBDOCDownload
Supervisor Half Yearly Return Example 48 KBDOCDownload
General Meeting Note 31 KBDOCDownload

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