2552. Compliance with the proficiency requirements or other conditions

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    1. Each of the Dealer Member’s Approved Persons must:

      1. meet the applicable proficiency requirements set out in Rule 2600 

        before IIROC approval is granted, and

      2. complete the applicable post-approval course requirements of subsection 2602(3) after receiving IIROC approval.

    2. IIROC will automatically suspend an Approved Person if he or she does not complete all required post-approval courses in his or her Approved Persons category as set out in Rule 2600. 
    3. IIROC will reinstate an Approved Person once he or she has passed the required post‑approval courses and IIROC has been notified.
    4. A Dealer Member must file a report specified by IIROC on the conditions imposed on an Approved Person under Rule 8200 or Rule 9200 within 10 business days of the end of each month. 
    5. If a Dealer Member does not file the report specified in subsection 2552(4) or files the report late, it must pay IIROC the applicable late filing fee.

    There is no history log for this rule.

    There is no history log for this rule.