Related provisions for TC 2.1.28
1 - 1 of 1 items.
All continuing professional development should:17(1) be relevant to the retail investment adviser's current role and any anticipated changes to that role;(2) maintain the retail investment adviser's knowledge by reference to current qualification standards relevant to the retail investment adviser's role;(3) contribute to the retail investment adviser's professional skill and knowledge;(4) address any identified gaps in the retail investment adviser's technical knowledge; (5)
Continuing professional development completed by a retail investment adviser in relation to activities other than acting as a retail investment adviser should not be taken into account for the purposes of TC 2.1.15 R unless it is also relevant to the activity of acting as a retail investment adviser.1717
A firm must ensure that a retail investment adviser confirms annually in writing that the retail investment adviser has, in the preceding 12 months:17(1) complied with APER or COCON (as applicable)20; and(2) if applicable, completed the continuing professional development required under TC 2.1.15 R. 17
17A firm must notify the FCA as soon as reasonably practicable after it becomes aware, or has information which reasonably suggests, that any of the following events has occurred or may have occurred in relation to any of its retail investment advisers, and the event is significant:(1) a retail investment adviser, who has been assessed as competent for the purposes of TC 2.1.1 R, is no longer considered competent for those purposes; (2) a retail investment adviser has failed to