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We can also assist in: -. Conducting skills assessments. Training trainee advisers. Collating KPI data. Conducting one to one meetings with advisers. Providing power point presentations on various subjects to the team. Annual Knowledge Tests. Webinars. We have a ‘Training Zone’ on our HUB where you can access tests, newsletters
1) establish, maintain and keep appropriate records to demonstrate compliance with this chapter; 2) be in a position to provide to the FCA, on request, the name of the person responsible for the record keeping requirement in (1).
The FCA has provided updated guidance on what it considers to be good practice and poor practice in regards to Conduct Rules training and fitness and propriety assessments. In July, we reported that the deadline by which firms must have first assessed the fitness and propriety of their Certified Staff will be delayeduntil 31 March 2021.
In assessing if a person is fit and proper to perform an FCA certification function, a firm must have regard, in particular, to whether that person: (1) has obtained a qualification; (2) has undergone, or is undergoing, training; (3) possesses a level of competence; or (4) has the personal characteristics required by general rules made by the FCA.
Any T&C scheme will document how, in addition to CPD, advisers will maintain and demonstrate knowledge and competence are maintained. This will usually involve annual knowledge assessments, observed client meetings and a discussion of professional development at appraisal. It may be that a training needs analysis is revisited and updated.

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