INDI Part S1.4 Compliance oversight function competencies
1 The competencies in this Part for the compliance oversight function are in addition to any requirements under other Rules for the function. See in particular CTRL, rule 6.3.2 (2).
2 The level of an individual's competencies must be commensurate to the nature and complexity of his or her role in the firm and the regulated activity or activities that the firm conducts (see rule 3.1.3 (4)).
|Derived from QFCRA RM/2014-5 (as from 1st January 2015)
Amended by QFCRA RM/2021-1 (as from 1st July 2021)