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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.
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Approval of an individual will end if:
- the individual ceases to be an Approved Person with a Dealer Member, or
- the approved agency relationship with a Dealer Member is terminated.
- 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.
- 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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