Individuals (Assessment, Training and Competency) Rules 2014 (INDI)

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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