Related provisions for TC 2.1.5H
1 - 1 of 1 items.
Where an employee has not been assessed as competent to do so and: 24(1) 24gives personal recommendations25 on retail investment products to retail clients24, the firm must ensure that the individual supervising and assessing that employee has attained an appropriate qualification24; or(2) 24gives advice on P2P agreements to retail clients, the firm must ensure that the individual supervising and assessing that employee has attained an appropriate qualification for giving personal