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Continuing Education Training Plan

Every firm must conduct a Needs Analysis and prepare a written training plan that is reasonable for its size and type of business it conducts or plans to conduct. The Needs Analysis and written training plan should address any pertinent recommendations from the Firm Element Advisory and should briefly describe the training plans for the upcoming year.

The written training plan should briefly describe the training activities (i.e., subjects, methods of delivery, and training) for the upcoming year that are reasonable in relation to the firm's size and resources. For very small firms that have only one or two supervisory individuals, the training may include regularly scheduled discussions about new rules and regulations or current supervisory issues the firm is experiencing.

Source: CE Council http://www.cecouncil.com/firm_element/faqs/#firm_element/


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