LATEST NEWS
The importance of firm-wide risk assessments
FCA takes action against three individuals from SVS Securities for mistreatment of pension funds
Information Commissioner’s Office: Cyber Security Document
Information for principals with overseas appointed representatives
Thistle Initiatives Newsletters - June 2024

T&C
MATERIALS

Assessment Tools & Resources

Senior Management (SMCR) T&C Requirements and useful knowledge test resources

Competence Attaining & Maintaining

Tools for assessing and recording competence

Recruitment

Recruitment templates

Staff & Employee Documents

Job roles and staff declaration templates

Training & Continuing Professional Development

Training needs, development plan and CPD recording templates