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TC-2.4.1

A capital market licensee must make and retain updated digital and/or manual 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;
(d) Results of evaluations conducted at the end of such training courses.
(e) The criteria applied in assessing competence;
(f) How and when the competence decision was arrived at; and
(g) Record of CPD hours undertaken by each approved person.
Added: January 2022