Knowledge Base

← Conduct annual competency assessments of sales personnel
scq

Which assessment method is explicitly deemed non-compliant by AMF SPOT inspections?

Which assessment method is explicitly deemed non-compliant by AMF SPOT inspections?

An annual appraisal interview with a section dedicated to regulatory competencies
An assessment questionnaire completed jointly by the staff member and their manager
A pure self-assessment system
A SPOT inspection by an external auditor