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Status: You are viewing the version of the handbook as on 2005-06-30.

TC Sch 1 Record keeping requirements

TC Sch 1.1G

The aim of the guidance in the following table is to give the reader a quick over-all view of the relevant record keeping requirements.

TC Sch 1.2G

It is not a complete statement of those requirements and should not be relied on as if it were.

TC Sch 1.3G

In the table, "PTS" means pension transfer specialist.

TC Sch 1.4G

Table: Record keeping requirements

Handbook reference

Subject of record

Contents of record

When record must be made

Retention period

TC 2.4.9 G

Attaining Competence

Data on competence

On a continuing basis

For 3 years only after an employee ceases to engage in or oversee an activity or for PTS indefinite1

TC 2.5.1 R

Appropriate examinations1

Examination time limits

When employee begins in the activity

For 3 years only after an employee ceases to engage in or oversee an activity or for PTS indefinite1

TC 2.5.2 G

Appropriate examinations1

Examination passes and dates and other relevant data such as periods of absence

Duration of time limits for that activity

For 3 years only after an employee ceases to engage in or oversee an activity or for PTS indefinite1

TC 2.5.6G (1)2

Appropriate examinations - regulatory module only1

Criteria for application of TC 2.5.5 R to the employee

At the time of the application of the rule

For 3 years only after an employee ceases to engage in or oversee an activity or for PTS indefinite1

TC 2.5.6G (2)2

Appropriate examinations2

Criteria for application of TC 2.5.5A R to the employee2

At the time of the application of the rule2

For 3 years only after an employee ceases to engage in or oversee an activity or for PTS indefinite2

TC 2.6.4 G

Maintaining Competence

Criteria for and application of assessment

On a continuing basis after competence

For 3 years only after an employee ceases to engage in or oversee an activity or for PTS indefinite1

TC 2.7.6 G

Supervising and monitoring

Criteria in deciding level of supervision and how it is carried out

When the employee begins in the activity and on an ongoing basis

For 3 years only after an employee ceases to engage in or oversee an activity or for PTS indefinite1

TC 2.8.1 R (1)

Compliance with sourcebook

Data on competence, relevant to compliance with the sourcebook

When the employee begins in the activity and on a continuing basis

For 3 years only after an employee ceases to engage in or oversee an activity or for PTS indefinite1