Broker Continuing Professional Development Tracking Log

Tracks a broker's annual continuing professional development hours against statutory and industry-body minimums, with gap visibility before audit review.

Submission Notice

• Submission type
• Broker name or identifier
  Use the broker's internal identifier or full name as required by your compliance process. Avoid collecting extra PII unless needed for audit trail.
• CPD year
  Enter the compliance year or cycle label used by your organization.

Certification Cycle

• Cycle start date
• Cycle end date
• Minimum required CPD hours
  Enter the statutory or industry-body minimum for the selected cycle.
• Applicable standard or body
• Other standard name

Training Activity

• CPD activities
• Activity categories covered
• Total hours claimed
  Sum of all submitted CPD hours for the cycle.
• Verified hours
  Enter the hours that have supporting evidence and are eligible for compliance credit.

Verification and Supporting Records

• Supporting documents
  Upload certificates, attendance confirmations, transcripts, or other evidence supporting the claimed hours.
• Was the provider contacted for verification?
• Verification notes
  Use this field for discrepancies, missing evidence, or clarification needed for audit review.
• Record retention confirmed
  Confirm the record and evidence will be retained according to your compliance policy.

Deficiency Review

• Hours shortfall
• Is there a CPD deficiency?
• Corrective action plan
  Describe the actions, deadlines, and responsible person if the verified hours are below the minimum.
• Reviewer name
• Review date