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C4-1.3.21

Category 4 investment firms should make and retain updated records of:

(a) The criteria applied in assessing the ongoing and continuing competence;
(b) How and when the competence decision for a staff member was arrived at including any periodic assessments;
(c) The annual training plan for each controlled function;
(d) Record of CPD hours undertaken by each approved person;
Added: January 2022