- A continuing education participant:
- cannot carry forward compliance course credits to satisfy continuing education requirements of a subsequent continuing education program cycle,
- may receive continuing education credit for a compliance course with an examination, only if the continuing education participant successfully passes the examination, and
- may receive continuing education credit of a maximum of five hours for compliance continuing education courses recognized by a foreign securities regulator.
A Dealer Member may give continuing education credit for Dealer Member compliance manual training where:
the content of the compliance manual training satisfies clause 2703(1)(i), and
the compliance manual training is delivered by the Dealer Member through in-person seminars, or webinars that are accompanied by a method of evaluation.
- IIROC will publish a list of approved ethics courses that a continuing education participant can repeat and count towards fulfillment of the compliance course requirement in two continuing education program cycles.