Training and Competence: Financial Services
This part of the topic index contains resources on training and competence. Please select the resource that you require by clicking on the relevant tab below.
9
resources
These resources are maintained, meaning that we monitor developments on a regular
basis and update them as soon as possible.
| 1 | Are you looking for EU law content on this topic? A practice note explaining where to find EU law content from a topic page. | Practice notes | Maintained |
| 2 | Consultation responses: retail distribution review A responses tracker linking to key, publicly available responses to the FSA's consultations on its proposals to implement the findings of its retail distribution review (RDR). | Practice notes | 16-Apr-2012 |
| 3 | CP10/28: FSA's mortgage distribution and disclosure ... This practice note outlines the FSA's key proposals for reforming distribution and disclosure in the mortgage market, as set out in its consultation paper, "Mortgage Market Review: Distribution & Disclosure" (CP10/28), which was published on 16 November 2010. CP10/28 forms part of the FSA's ongoing mortgage market review (MMR). For more information on the MMR, see Practice note, Hot topics: FSA's review of its mortgage regime. Please note the law stated date of this practice note. It is not maintained. | Practice notes | 16-Nov-2010 |
| 4 | FCA professionalism requirements An outline of the FCA's professionalism requirements, introduced as part of the retail distribution review (RDR). The note looks at the role of the FCA, accredited bodies, firms and retail investment advisers in delivering the professionalism standards. It outlines FCA Handbook requirements relating to the issuing of statements of professional standing (SPS), qualification standards, continuing professional development (CPD) and ethical standards, as well as professional standards data reporting requirements. | Practice notes | Maintained |
| 5 | MiFID review consultation: investor protection and provision of ... This practice note is one of two notes summarising the European Commission's consultation proposals to amend the requirements of the Markets in Financial Instruments Directive (2004/39/EC) and its implementing legislation, which were published in December 2010 following the Commission's review of the effectiveness of the Directive. This note focuses specifically on the proposals relating to the scope of MiFID (including exemptions), conduct of business issues, the provision of investment services (including authorisation and organisational requirements), the sanctions regime, member state options and discretions, and third country firm equivalence. This note does not comment on the Commission's legislative proposals to amend MiFID, which were published in October 2011. For details of the legislative proposals, see Practice note, Hot topics: MiFID II. | Practice notes | Maintained |
| 6 | RDR: overview An overview of the FSA's retail distribution review (RDR), including an introduction to the rules and an explanation of how the changes brought about by the RDR impacted on other advice sectors (such as, the insurance and mortgage sectors, as well as simplified and basic advice). | Practice notes | Maintained |
| 7 | Training and Competence sourcebook A note outlining the provisions of the FCA's Training and Competence sourcebook (TC), including the competent employees rule and qualification requirements. | Practice notes | Maintained |
| 8 | Training and competence: employee qualifications A consideration of the role of employee qualifications under the FCA's training and competence regime. | Practice notes | Maintained |
| 9 | Training and competence: requirements for authorised firms An overview of the FCA's training and competence regime, including high-level requirements and the competent employees rule. | Practice notes | Maintained |