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Home › Solutions › 🏦 Financial Services & Banking › MS 05 — Training & Competency Evidence Register
05
🏦 Financial Services & Banking
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T&C Evidence. Structured, Retrievable, Always Current.

The Training and Competency Evidence Register captures every training record, CPD completion, and competency assessment for every regulated individual in your firm — mapped to the specific regulatory requirement it satisfies.

The Problem This Solves
T&C records are frequently held in a combination of HR systems, paper files, and spreadsheets. When the FCA reviews T&C arrangements, firms cannot demonstrate that training records are current, complete, and mapped to regulatory requirements.
Regulatory Basis
FCA TC 2.1 · FCA SYSC 5.1 · COBS 2.1
FCA TC 2.1 requires firms to ensure individuals are competent before carrying out regulated activities and to maintain evidence of that competence. Records must be current and available for FCA review.
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🏦 Financial Services & Banking
MS 05
Training & Competency Evidence Register
£1,447
ONE-TIME · FULL CODE OWNERSHIP · NO LICENCE FEE
✓ Production-ready PostgreSQL schema
✓ n8n automation workflow (JSON export)
✓ HTML / JavaScript frontend
✓ Immutable audit trail built in
✓ Build guide — step-by-step setup
✓ Sub-30-second evidence retrieval
✓ FCA TC 2.1 aligned
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Delivered and live within 14 days or money back
What's Included

Six Production-Ready Deliverables

Every component is built, tested, and transferred to you on day one of deployment. No dependencies. No ongoing licence fees. Full code ownership from the moment it goes live.

🗄️
training_records table
All training events: individual_id, training_title, provider, training_type (mandatory/CPD/specialist), delivery_date, expiry_date, regulatory_mapping, pass_fail.
🗺️
regulatory_requirements table
Maps each regulatory requirement to the training records that satisfy it. Gap analysis view identifies individuals with outstanding mandatory training.
⏰
Expiry Alert System
Three-stage alert: 60 days before expiry (notification), 14 days (urgency), and overdue (escalation to line manager and compliance). All alerts logged.
📊
vw_tc_competency_gap
Live gap analysis view: every regulated individual with their mandatory training status, CPD hours logged, expiry dates, and a competency gap count. Filterable by team and role.
🔄
Renewal Reminder Workflow
n8n workflow queries expiring records weekly and sends personalised renewal reminders to each individual with a list of records expiring in the next 60 days.
📁
Competency Evidence Pack
On-demand workflow assembles the complete T&C evidence pack for any individual — all training records, regulatory mappings, CPD log, and competency assessments — formatted for FCA submission.
Technical Specification & Live View

Built to Run. Not to Demo.

Every UNUS London mini solution is a production system — not a prototype. The schema runs on PostgreSQL 17.4 with full referential integrity, Row-Level Security, and an immutable audit trail from day one. The n8n workflow handles every user interaction end-to-end.

The evidence view below is representative of the live data structure you will have in your system. Every record shown reflects the actual column names, data types, and status logic in the deployed schema.

DatabasePostgreSQL 17.4 (Supabase)
Tables3 (training_records, regulatory_requirements, cpd_log)
Views2 (tc_competency_gap, expiring_records)
Alert Stages3 (60-day, 14-day, overdue)
StandardFCA TC 2.1 · SYSC 5.1
Code Ownership100% — transferred Day 1
finance-tc-evidence-register — live data view
J. Okafor 12 records 22 CPD hrs ✓ All current 0 gaps
A. Mensah 9 records 14 CPD hrs ⚠ 1 expiring Apr 2026 0 gaps
P. Clarke 7 records 8 CPD hrs 🔴 MiFID II overdue 1 gap
T. Williams 11 records 19 CPD hrs ✓ All current 0 gaps

Get the Training & Competency Evidence Register
live in your firm.

A 30-minute discovery call is enough to scope this system for your firm, walk through the schema live, and confirm the delivery timeline. No obligation. A genuine technical conversation.

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