Competency Profiles for Directors, Executives, Ultimate Designated Persons, Chief Compliance Officers, and Chief Financial Officers

Date opened: August 31, 2021

Date closed:

Status: Open

Summary/details:

The Investment Industry Regulatory Organization of Canada (IIROC) is in the process of developing and publishing competency profiles for all IIROC approval categories. Last year we published for comment the first phase of this project, which involved the development of competency profiles for our Registered Representative (RR) and Investment Representative (IR) categories.

The second phase of this project is the publication of competency profiles for Directors, Executives, Ultimate Designated Persons (UDPs), Chief Compliance Officers (CCOs), and Chief Financial Officers (CFOs).

We are publishing this Consultation Paper to solicit feedback on our proposed competency profiles for Directors, Executives, UDPs, CCOs, and CFOs.