INDI 4.1.1 Customer-facing function — firms' competence and fitness assessments

(1) An authorised firm must be satisfied, on reasonable grounds after making appropriate inquiries, that an individual who performs, or is proposed to perform, the customer-facing function:
(a) has the competencies required to do so;
(b) is a fit and proper person to do so; and
(c) satisfies any other requirements under these or any other Rules.
(2) An individual must not perform the customer-facing function for an authorised firm unless the firm continues to be satisfied that he or she:
(a) has the competencies required to do so;
(b) is a fit and proper person to do so; and
(c) satisfies any other requirements under these or any other Rules.
Derived from QFCRA RM/2014-5 (as from 1st January 2015)