2715. The compliance course

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    1. A continuing education participant:
      1. cannot carry forward compliance course credits to satisfy continuing education requirements of a subsequent continuing education program cycle,
      2. may receive continuing education credit for a compliance course with an examination, only if the continuing education participant successfully passes the examination, and
      3. may receive continuing education credit of a maximum of five hours for compliance continuing education courses offered by a foreign securities dealer or foreign external course provider.
    2. A Dealer Member may give continuing education credit for Dealer Member compliance manual training where:

      1. the content of the compliance manual training satisfies clause 2703(1)(i), and

      2. the compliance manual training is delivered by the Dealer Member through in-person seminars, or webinars that are accompanied by a method of evaluation.

    3. 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.

    There is no history log for this rule.

    There is no history log for this rule.