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  • Record Keeping

    • TC-1.1.25

      An investment firm licensee must make and retain records of its recruitment procedures. Such procedures should be designed to adequately take into account proof of the candidates' knowledge and skills and their previous activities and training.

      Adopted: July 2010

    • TC-1.1.26

      The recruitment record keeping procedure should include, but is not limited to, the following:

      (a) Results of the initial screening;
      (b) Results of any employment tests;
      (c) Results and details of any interviews conducted;
      (d) Background and references checks; and
      (e) Details of any professional qualifications.
      Adopted: July 2010