Training and competence — the compliance officer's perspective

Abstract

The purpose of this paper is to examine the importance of the PIA's training and competence requirements as a means by which a company's PIA Compliance Officer can ensure advisors are being properly monitored and are given advice in a competent and compliant way. It examines the importance of the supervisor's role, the need to move away from prescriptive requirements and the use which can be made of management information gained from the T&C scheme.

Citation

Miller, D. (1997), "Training and competence — the compliance officer's perspective", Journal of Financial Regulation and Compliance, Vol. 5 No. 2, pp. 136-138. https://doi.org/10.1108/eb024919