2625. Specific exemptions

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    1. A Chief Compliance Officer seeking approval as a Supervisor of a producing Supervisor will not be required to complete the proficiencies required under 2602(3)(xvii) for the purposes of being approved in this capacity, if the producing Supervisor is an Approved Person who is (a) a Supervisor of a Registered Representative or Investment Representative and (b) actively engaged as a Registered Representative dealing with retail clients.

    2. Unless otherwise specified, individuals approved as of the date the IIROC Rules come into effect, are exempt from any new proficiency requirements introduced in subsection 2602(3), provided the Approved Person continues in the same role.

    There is no history log for this rule.

    There is no history log for this rule.