INDI Division S1.4.B Knowledge

S1.4.21 The CISI Regulatory qualification
S1.4.22 A recognised compliance oversight function professional qualification at certificate level, or any other qualification that the firm is satisfied is appropriate for the role

Note 1 In considering a qualification for clause S1.4.22, qualifications that are recognised as appropriate for the role by another regulator may be taken into account. See rule 3.1.4 (3).

Note 2 The firm must record and retain its assessment and any supporting evidence (see rule 3.1.4 (4)).
Derived from QFCRA RM/2014-5 (as from 1st January 2015)