Training and competence: FCA enforcement action | Practical Law
The FCA, and its predecessor, the FSA, have published final notices they have issued to individuals and firms, principally concerning breaches of the training and competence requirements in the Principles for Businesses, the Training and Competence sourcebook (TC) and the Senior Management Arrangements, Systems and Controls sourcebook (SYSC). This tracker links to the key final notices in this area, summarising details of the breaches and the nature of the enforcement action taken.