A regulated firm shall ensure that it retains the following written records in respect of CPD requirements:
(a) records of all monitoring by the regulated firm of compliance with CPD requirements by persons who are subject to any standards set out in Section 1.3(a) and Section 2.2 of the Minimum Competency Code;
(b) records demonstrating compliance with the CPD requirements by persons who meet the standards set out in Section 1.3(a) and Section 2.2 of the Minimum Competency Code;
(c) records of all breaches of the CPD requirements by persons who are subject to any standards set out in Section 1.3(a) and Section 2.2 of the Minimum Competency Code;
(d) records in relation to any pro-rata adjustments including -
(i) the extent of the adjustment,
(ii) the reason for the adjustment, and
(iii) where appropriate, medical certification of illness;
(e) any other relevant documentation.