The Evidence Gap: Your Guide for Training & Competence

Managing Training & Competence is straightforward when your firm is small. But as advisor numbers grow, so does the admin. More CPD to track, more competence sign-offs to evidence, more supervisory observations to document.

And in an environment where the FCA expects ongoing, audit-ready evidence of competence — not just completion certificates — that gap becomes a regulatory risk.

This guide is for compliance, HR and senior management teams at financial services firms who want a clearer picture of where T&C management typically breaks down, what the regulator now expects to see, and what a scalable system should do to close the evidence gap. You’ll learn:

• Why T&C admin compounds as firms grow – and the five breaking points that create regulatory exposure.
• What the FCA’s focus on outcomes-based supervision means for T&C evidence
• What a flexible, configurable, automated T&C system should look like – and how connecting CPD, supervision and MI in one place transforms T&C from a compliance cost into a business asset. 

DOWNLOAD NOW