The important thing to remember when gathering evidence is that the more evidence the better - that is, the more evidence you gather to demonstrate your skills, the more confident an assessor can be that you have learned the skills not just at one point in time, but are continuing to apply and develop those skills (as opposed to just learning for the test!). Furthermore, one piece of evidence that you collect will not usualy demonstrate all the required criteria for a unit of competency, whereas multiple overlapping pieces of evidence will usually do the trick!
From the Wiki University
What evidence can you provide to prove your understanding of each of the following citeria?
Identify individual compliance requirements
|
|
Identify global regulatory frameworks and regulators for financial markets Completed |
Evidence:
|
Assess commonalities and key differences in legal requirements for buy-side and sell-side organisations Completed |
Evidence:
|
Identify regulatory requirements relevant to own job role Completed |
Evidence:
|
Identify industry standards, conventions, organisational requirements and whistleblowing policies and procedures relevant to own job role Completed |
Evidence:
|
Identify obligations under the organisation’s code of conduct for own job role Completed |
Evidence:
|
Map compliance requirements against individual position description and work practices Completed |
Evidence:
|
Escalate compliance issues
|
|
Identify critical steps for escalating regulatory and ethical concerns Completed |
Evidence:
|
Consult with appropriate persons when there is a potential breach of regulatory requirements or a breach of organisational policies or values Completed |
Evidence:
|
Escalate issues where there may be a breach of regulatory requirements or organisational policies, in accordance with organisational policies and procedures Completed |
Evidence:
|
Analyse and reflect on personal efficacy in identifying and actioning compliance issues Completed |
Evidence:
|
Monitor and apply changes in compliance requirements to own job role
|
|
Monitor changes in regulatory environment that may affect the requirements or responsibilities of own job role Completed |
Evidence:
|
Access and analyse documentation relating to changes in compliance issues Completed |
Evidence:
|
Undertake organisational training addressing changes in compliance requirements Completed |
Evidence:
|