2755. Penalties for late filing or not completing continuing education requirements in a continuing education program cycle

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    1. On the last business day of the first month of a continuing education program cycle, IIROC will automatically suspend the approval of the continuing education participant if : 

      1. continuing education participant fails to complete the continuing education requirements for the previous continuing education program cycle, or 

      2. the sponsoring Dealer Member fails to update the continuing education reporting system and notify IIROC as required by clause 2717(1)(vii). 

    2. A sponsoring Dealer Member that fails to comply with the requirements of clause 2717(1)(vii) will be liable for and pay IIROC such fees as the Board may prescribe from time to time. 
    3. IIROC may reinstate the continuing education participant’s approval after the sponsoring Dealer Member has notified IIROC in writing that the continuing education participant has completed the continuing education requirements. 

    4. If a sponsoring Dealer Member pays a fine in error, IIROC will issue a refund provided the Dealer Member requests a refund within 120 days of the date the invoice is issued by IIROC.

    2756. –  2799.  Reserved.

    There is no history log for this rule.

    There is no history log for this rule.