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Commercial financial training  
Training & Competence
T&C questionnaire

Your Training & Competence arrangements should be firmly established and realising business benefits, as well as satisfying the regulatory requirements.   Complete the questionnaire below to determine the suitability of your T&C arrangement.

Governance

  
1

Have you established a committee or group with responsibility for the governance of your T&C arrangements?
Yes No
2 Is there a person with responsibility for managing
the T&C arrangements?
Yes No

The scheme

  
3 Do you produce Management Information on
the operation of the T&C arrangements and is
it regularly reviewed?
Yes No
4 Are procedures in place to ensure clear and consistent communication of the T&C requirements to both new recruits and existing staff?
Yes No
5 Do your T&C arrangements fit with your business
ethos and practices?
Yes No
6

Are the skills and knowledge requirements for recruits regularly reviewed?
Yes No

Training

  
7

Are objectives, timescales, responsibilities and measurements set for training events?
Yes No

Attaining competence

  
8 Do you have a written definition of competent
performance for each role?
Yes No
9 Are measures in place to assess competence?
Yes No

Maintaining Competence

  
10

Are arrangements in place to identify whether
competence is maintained?
Yes No
11 Do you have procedures in place if competence has
not been maintained?
Yes No
Supervising  
12

Is the consistency and effectiveness of supervision measured?
Yes No
13 Is the competence of supervisors assessed?
Yes No
14

Are measures in place to deal with non-competent supervisors?
Yes No

Record keeping

  
15 Are T&C records made and are they secure
and accessible?
Yes No
16

Are records being used for the benefit of the firm
and its employees?
Yes No
     
If you would like a second opinion on the adequacy of any of your answers to these questions please contact us.  You may also find our Solutions in Training and Competence brochure helpful.
 
 
 
 
 
Please contact me to discuss:
 
 
 
 
 
 
 
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