2630. Transition of Advising Representatives and Associate Advising Representatives into the Portfolio Manager and Associate Portfolio Manager approval category

Or jump to a Series:

    1. An individual registered as an advising representative or associate advising representative by a securities regulatory authority within the two weeks prior to the date of approval as a Portfolio Manager or Associate Portfolio Manager by IIROC has three months to complete the Conduct and Practices Handbook Course.  

    2. IIROC will:

      1. automatically suspend the approval of the Portfolio Manager or Associate Portfolio Manager if he or she does not complete the Conduct and Practices Handbook Course within the timeframe set out in 2630(1), and

      2. reinstate the Portfolio Manager or Associate Portfolio Manager once he or she has successfully completed the Conduct and Practices Handbook Course and has notified IIROC.

    2631. – 2699.  Reserved.

    There is no history log for this rule.

    There is no history log for this rule.