Related provisions for TC 1.1.4

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TC 2.1.4GRP

Firms should ensure that those supervising employees carrying on an activity in TC Appendix 1 have the necessary coaching and assessment skills as well as technical knowledge to act as a competent supervisor and assessor. In particular firms should consider whether it is appropriate to require those supervising employees not assessed as competent to passan appropriate examinationas well except where the employee is giving advice on packaged products, see TC 2.1.5 R.

TC 2.1.13GRP
A firmshould ensure that maintaining competence for an employeetakes into account such matters as: (1) technical knowledge and its application;(2) skills and expertise; and(3) changes in the market and to products, legislation and regulation.
DEPP 6.5B.2GRP
(1) The FSA will determine a figure which will be based on a percentage of an individual’s “relevant income”. “Relevant income” will be the gross amount of all benefits received by the individual from the employment in connection with which the breach occurred (the “relevant employment”), and for the period of the breach. In determining an individual’s relevant income, “benefits” includes, but is not limited to, salary, bonus, pension contributions, share options and share schemes;