compliance

Training Competence Sourcebook

Training and Competence Sourcebook

The Training Competence Sourcebook sets out the rules and guidance to be followed regarding attaining and maintaining competence of approved persons undertaking regulated activities.

The rules contained within the Training Competence sourcebook are Business Standards and having a full understanding of them and what your obligations are, are therefore essential.

The rules on Training and Competence have been radically cut back in recent times, relying more heavily on the principles based approach.

Having documented and updated Training Competence Sourcebook procedures for your firm can assist in demonstrating compliance.

Our Training Competence Sourcebook Document Pack:

We have produced a set of procedures detailing the requirements of the Training Competence sourcebook, including examples of what information should be included for your firm.

We have also produced separate documents to enhance the Training Competence Sourcebook procedures. These can be used either in association with the procedures or on a stand-alone basis.

This suite of Training Competence Sourcebook documents and procedures will help you understand what is required but also demonstrate externally you are taking compliance and the competence of your approved persons seriously by researching and understanding your obligations in this area.

Record keeping and FSA notification events are also included to help you, where they are relevant.

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