| Individuals (Assessment, Training and Competency) Rules 2014 (INDI) |
INDI Chapter 1:
General |
INDI 1.1.1 Introduction |
| INDI 1.1.2 Commencement |
| INDI 1.1.3 Effect of definitions, notes and examples |
| INDI 1.1.4 Application of INDI |
| INDI 1.1.5 Customer-facing function |
| INDI 1.1.6 Record-keeping |
INDI Chapter 2:
Principles of conduct for individuals |
INDI 2.1.1 Application of the principles |
| INDI 2.1.2 Principle 1 — integrity |
| INDI 2.1.3 Principle 2 — due skill, care and diligence |
| INDI 2.1.4 Principle 3 — market conduct |
| INDI 2.1.5 Principle 4 — relations with the Regulatory Authority |
| INDI 2.1.6 Principle 5 — appropriate priority for management and compliance |
INDI Chapter 3:
Controlled functions |
INDI Part 3.1 Assessment of individuals for controlled functions |
| INDI Part 3.2 Approval of individuals for controlled functions |
| INDI Part 3.3 Cessation of performance of controlled functions |
INDI Chapter 4:
Management of risk |
INDI Part 4.1 Assessment of individuals for customer-facing function |
| INDI Part 4.2 Cessation of performance of customer-facing function |
INDI Chapter 5:
Training and competency |
INDI Part 5.1 Principles for training and competency |
| INDI Part 5.2 Training and competency programme |
| INDI Part 5.3 Training and other ongoing obligations |
INDI Chapter 6:
Transitional |
INDI 6.1.1 Definitions for Chapter 6 |
| INDI 6.1.2 Approved individuals to remain approved |
| INDI 6.1.3 Individuals approved for customer facing function before 1 January 2015 |
| INDI 6.1.4 Individuals conditionally approved for customer facing function |
| INDI Schedule 1 Competencies for controlled functions |
INDI Part S1.1 Senior executive function competencies |
| INDI Part S1.2 Executive governance function competencies |
| INDI Part S1.3 Non-executive governance function competencies |
| INDI Part S1.4 Compliance oversight function competencies |
| INDI Part S1.5 Risk management function competencies |
| INDI Part S1.6 Finance function competencies |
| INDI Part S1.7 MLRO function competencies |
| INDI Part S1.8 Senior management function competencies |
| INDI Part S1.9 Actuarial function competencies |
| INDI Part S1.10 Internal audit function competencies |
| INDI Schedule 2 Competencies for customer-facing function |
INDI Part S2.1 Customer-facing function competencies — general insurance contracts and pure protection contracts |
| INDI Part S2.2 Customer-facing function competencies — other long term insurance contracts and units in collective investment schemes |
| INDI Part S2.3 Customer-facing function competencies—relevant investments |
| INDI Glossary |
