Training & Competence Documents

• Factfind Observation – Word Document
• Factfind Observation Example – Word Document
• Presentation Observation – Word Document
• Presentation Observation Example – Word Document
• CPD Log – Excel Document
• Action Planner – Word Document
• Action Planner Example – Word Document
• Competence Sign Off Form – Word Document
• Fit and Proper Declaration – Word Document
• Formal Review – Word Document
• One to One Form – Word Document
• One to One Example – Word Document
• Recruitment Process Checklist – Word Document
• Reference Request General Letter – Word Document
• Training Needs Analysis – Word Document
• Training Needs Analysis Example – Word Document
• KPI Review Form – Excel Document
• KPI Review Form Example – Excel Document
• Staff Incentive Risk Guidance – Word Document
• Supervisor Half Yearly Return – Word Document
• Supervisor Half Yearly Return Example – Word Document
• General Meeting Note – Word Document

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.

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