2807. Termination

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    1. A Dealer Member must notify IIROC of the termination of an Approved Person, within the time period and the manner prescribed in National Instrument 33‑109.  

    2. Approval of an individual will be suspended by IIROC 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, within 10 days 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.
    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 latter of:
      1. 10 days after the request by the individual under subsection 2807(3), and
      2. 10 days after the submission pursuant to subsection 4.2(2)(b) of National Instrument 33‑109.

    There is no history log for this rule.

    There is no history log for this rule.