An Introduction to T&C

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An Introduction to T&C

Ensuring your employees are competent and trained effectively can have a significant impact on company performance. FCA and PRA regulations also mean that firms need to be able demonstrate that their employees have the right competencies, qualifications and are fit and proper to carry out their roles.

T&C Challenges

  • Understanding what's required;
  • Record keeping;
  • Continuing Professional Development (CPD);
  • Reporting.

In partnership with industry specialists FSTP, Unicorn Training has already helped a number of organisations within the financial sector create effective T&C schemes specific to their requirements. The knowledge and expertise of FSTP, together with Unicorn’s industry leading Learning Management System (LMS) provides the perfect platform to help overcome these challenges.

What's required?

It’s important to remember that it is not only people who carry out regulated activity roles such as Financial Advisers or Investment Managers who have to meet T&C standards, everyone connected with a regulated business has to meet T&C Commitments and a relevant scheme should cater for this group as well. Keeping everything in one place is not mandatory but should anyone require access to the data, such as the regulator, having a comprehensive T&C scheme that is readily accessible will be advantageous.

In the next guide we provide an overview of what should be considered for inclusion within a robust T&C Scheme.

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