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  • FP-3.3 Record keeping

    • FP-3.3.1

      Licensees must retain the following records for all persons covered under the scope of this Module for a minimum period of five years following termination of their employment with the licensee:

      (a) Fit and proper assessments, including but not limited to:

      a. Recruitment records, CVs, and proof of the candidates’ knowledge and skills and their previous activities and training;
      b. Results of the initial screening for the purposes of appointments;
      c. Background and reference checks; and
      d. Details of any professional qualifications;

      (b) Evidence for competence, including but not limited to:

      a. Competency standards;
      b. Annual training plans;
      c. Material for training, attendance and evaluation;
      d. Documentation to show annual assessment of competence and criteria used; and
      e. Record of CPD hours undertaken by each person.
      Added: March 2025