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  • Continuous Professional Development (CPD)

    • TC-2.1.6

      Individuals holding the controlled functions of compliance officer and MLRO in an investment firm licensee must undergo a minimum of 15 hours of CPD, in their area, per annum.

      Amended: October 2013
      Adopted: July 2010

    • TC-2.1.7

      An investment firm licensee should ensure that an approved person undertaking a controlled function undergo appropriate review and assessment of performance.

      Amended: October 2013
      Adopted: July 2010

    • TC-2.1.8

      The level of review and assessment should be proportionate to the level of competence demonstrated by the approved person. Review and assessment should take place on a regular basis and include coaching and assessing performance against the competencies necessary for the role.

      Amended: October 2013
      Adopted: July 2010

    • TC-2.1.9

      Assessors of approved persons should have technical knowledge and relevant skills, e.g. coaching and assessment skills.

      Amended: October 2013
      Adopted: July 2010