Financial Services Training and CPD Register - Simply Comply

Training , Development and CPD Register

• Training Register for Name of Financial Services Provider / Business:

• Document No.

• Name of Person:

• Training/ CPD Period:

• CPD Required:

• CPD obtained

Training and Professional Development Register

• In terms of Section 18 of the Financial Advisory and Intermediary Services Act, a record must be kept of all training interventions, and continuous professional development for Representatives.
  
  This could include technical training provided by e.g. broker consultants, self study, attending launches, formal courses, inhouse training, reading pertinent publications or articles, development work, the provision of training etc.
  
  

Record of Interventions - Informal

Training and CPD Records

• Date:

  Date

• Nature of intervention

  Inhouse

  External

• Provider

• Description of intervention

• Broker Consultant training

• Business breakfast

• Workshop

• Product Launch

• Technical Training

• Compliance Training

• Economic overview

• Other

• Description/Topic

• Duration

• CPD

  Yes

  No

• CPD points

• Verification

  Media

• Value 0 = No Value and 10 = Max Value

• Verifier

  Sign

• Informal training session

• Self - study : Reading of Topical issues

• Group Discussions

• Consultant providing training

• Compliance Training

• Online course

• Other

• Description/ Topic

• Duration

• Value 0 = No Value and 10 = Max Value

• CPD

  Yes

  No

• CPD points

• Verification

  Media

• Verifier

  Sign

Training and Professional Development Register

• In terms of Section 18 of the Financial Advisory and Intermediary Services Act, a record must be kept of all training interventions, and continuous professional development for Representatives.
  
  This could include technical training provided by e.g. broker consultants, self study, attending launches, formal courses, inhouse training, reading pertinent publications or articles, development work, the provision of training etc.
  
  

Record of Interventions - Formal

Training and CPD Records

• Nature of intervention

  Formal

  Informal

• next section

• Institution

• Course

• Duration

• NQF level and credits (if known)

  4

  5

  6

  7

  Unknown

• Date completed

  Date

• CPD

  Yes

  No

• CPD Points

• Verification

  Media

• Value 0 = No Value and 10 = Max Value

• Recognised qualification

  FSB recognised

  FSB not recognised

• Add signature

  Sign