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  • Record Keeping

    • TC-2.1.10

      An investment firm licensee should make and retain records of:

      (a) The annual training plan for each controlled function;
      (b) Materials used to conduct in-house training courses;
      (c) List of participants attending such in-house training courses; and
      (d) Results of evaluations conducted at the end of such training courses.
      Amended: October 2013
      Adopted: July 2010

    • TC-2.1.11

      Investment firm licensees should maintain appropriate training records for each individual. Licensees should note how the relevant training relates to and supports the individual's role. Training records may be reviewed during supervisory visits to assess the investment firm licensee's systems and to review how the licensee ensures that its staff are competent and remain competent for their roles.

      Amended: October 2013
      Adopted: July 2010