2807. Cessation of Approved Person status

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    1. A Dealer Member must notify IIROC of the cessation of an individual's status as an Approved Person, within the time period and the manner prescribed in National Instrument 33‑109.  

    2. Approval of an individual will end if:

      1. the individual ceases to be an Approved Person with a Dealer Member, or
      2. the approved agency relationship with a Dealer Member is terminated.
    3. A Dealer Member must, upon of receiving a request from an individual that was its former Approved Person, provide to the individual a copy of the  Form 33‑109F1  that the Dealer Member submitted under subsection 2807(1) in respect of that individual, within time period prescribed by National Instrument 33-109.
    4. If a Dealer Member completed and submitted the information in item five of Form 33‑109F1 in respect of an individual who made a request under subsection 2807(3) and that information was not included in the initial copy provided to the individual, the Dealer Member must provide to that individual a further copy of the completed Form 33‑109F1, including the  information in item five, within the time period prescribed by National Instrument 33-109.

    Notice 22-0061 - Housekeeping amendments relating to registration information requirements, outside activity reporting and updated filing deadlines

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