2717. Dealer Member’s administration of the continuing education program

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    1. A Dealer Member must: 

      1. keep evidence of  a continuing education participant’s completion of the continuing education course, which may be a certificate issued by the course provider, an attendance sheet, or bulk notice of completion, 

      2. keep continuing education program records, including course related materials, for each continuing education program cycle for a minimum of seven years following the end of the continuing education program cycle, 

      3. designate an individual responsible for supervising training and approving a continuing education participant’s chosen continuing education course

      4. ensure that a continuing education participant’s chosen continuing education course satisfies the content criteria described in subsection 2703(1), 

      5. verify completion of a continuing education course and, where the course is delivered by the Dealer Member, evaluate a continuing education participant’s knowledge and understanding of the course material through examination, course work, or case study,

      6. ensure that each continuing education participant meets the continuing education requirements during each continuing education program cycle, and

      7. update the continuing education reporting system and notify IIROC within 10 days after the end of the continuing education program cycle of all continuing education participants that have met their continuing education requirements in the continuing education program cycle.

    2. A Dealer Member may allow a continuing education participant to use the continuing education credits earned through courses or seminars completed at the continuing education participant’s former sponsoring Dealer Member. A Dealer Member may accept a statement of completion issued by the continuing education participant’s former sponsoring Dealer Member.
    3. A former Approved Person required to rewrite the Canadian Securities Course and the Conduct and Practices Handbook Course in order to qualify for re-approval, may receive credit for 10 professional development course hours and five compliance course hours in the continuing education program cycle in which the former Approved Person rewrites these courses.  A former Approved Person cannot carry forward these continuing education course credits to the next continuing education program cycle.

    ​​​​​​​2718. – 2724.  Reserved.

    There is no history log for this rule.

    There is no history log for this rule.