Fichas
D2: Competence
Fichas del conjunto (2)
- 1Employee must be assessed as competent to engage in or oversee activity or must be in supervision otherwiseEmployee must not deal with retail clients until they've passed regulatory module of an approved exam & have adequate knowledge and skill
- 2Supervisors of employees must also pass appropriate approved examRecords must be kept for 3 yrs non-MiFID firms, 5 yrs MiFID firms - from cessation of employment (indefinitely pension TV specialists)
Información
- Descripción
- CII - Level 4 Diploma (C6: Principles & rules set out in reg. framework) R01 - Financial services, regulation, and ethics Fichas sobre D2: Competence, creado por Mark Varela el 02/06/2014.
- Creado por
- Mark Varela
- Visitas
- 22
- Valoración
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