2.3.1 Content of Register
A regulated firm must maintain a register of all accredited persons, acting as, for or on behalf of the regulated firm. The Register shall record the following information:
- name of accredited person;
- qualification, grandfathered status, transitional status, new entrant, or prescribed script function;
- retail financial product or specified function in respect of which the person is an accredited person;
- date the person obtained a recognised qualification or was grandfathered;
- if the person is a new entrant,
- date of commencement of the function;
- and qualification being pursued.
Each regulated firm must ensure that each branch office has a Register of all accredited persons working in that branch.
2.3.2 Removal from Register
An individual who has had his/her professional designation removed due to failure to comply with the relevant CPD requirements must be removed from the regulated firm’s Register of Accredited Persons.
A grandfathered person, or a holder
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