INDI Part 5.3 Training and other ongoing obligations

Notes

1 Principle 4 (see rule 5.1.4) requires an authorised firm to ensure that individuals who perform a controlled function or the customer-facing function receive or undertake sufficient training and continuing professional development.
2 Principle 5 (see rule 5.1.5) requires an authorised firm to be able to provide documentary evidence of its compliance with the requirements about the training and competency of such individuals.
Derived from QFCRA RM/2014-5 (as from 1st January 2015)