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  1. Point in time
    2007-08-06

TC 2.2 Recruitment

TC 2.2.1R

If a firm intends to recruit an individual with a view to that individual engaging in or overseeing an activity with or for private customers, the firm must as part of its recruitment procedures:

  1. (1)

    take into account the knowledge and skills of the individual in relation to the knowledge and skills required for the role; and

  2. (2)

    take reasonable steps to obtain sufficient information about the individual's previous relevant activities and training.

TC 2.2.2G

The firm should take reasonable steps to obtain information about the knowledge and skills of the individual in TC 2.2.1 R, including any appropriate examination passes, from a suitable source within a reasonable time.1