TC-2.1.10

Past version: Effective from 01 Jul 2010 to 30 Sep 2013
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An investment firm licensee should make and retain records of:

(a) The annual training plan for each controlled function and for appointed representatives;
(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.
Adopted: July 2010