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Training and Competence

The FSA give firms flexibility in terms of how they attain the required standards of training and competence, but the standards firms are expected to achieve are high. Rather than being process-driven, the focus is on key outputs. The development of output-based key performance indicators is therefore crucial.

The greater application of the FSA’s rules fall upon persons dealing with private customers and the scope of the rules captures 'overseers' of certain administrative functions. If you need to review and enhance your existing training and competence arrangements, ACL can help.

ACL are also able to prepare and present 'compliance awareness' type training covering such issues as: money-laundering prevention, corporate governance, complaint and rule breach handling, investment advice, individual registration and the rules governing financial promotion.

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