A regulated firm shall ensure that the following written records are maintained in respect of new entrants for whom the firm is responsible under Regulation 3:
(a) the date the individual commenced the function;
(b) details of the training or part of a recognised qualification completed by the new entrant prior to dealing with a consumer;
(c) the qualification being obtained and details of relevant experience completed;
(d) details of the arrangements for supervision by a person who meets the standards set out in Section 1.3(a) of the Minimum Competency Code, including the name of the supervisor, the date supervision commenced and the level of supervision;
(e) the length of the initial period during which the new entrant was accompanied at all times;
(f) for each incremental reduction in supervision -
(i) the assessment of the performance of the new entrant,
(ii) the criteria for reducing the level of supervision, and
(iii) the level of reduced supervision;
(g) records of meetings betw
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