|
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
|
