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. verify completion of a continuing education course and 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. where the continuing education course is delivered by the Dealer Member, evaluate a continuing education participant’s knowledge and understanding of the course,

      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 business 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.

    2718. – 2724.  Reserved.

    There is no history log for this rule.

    There is no history log for this rule.