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An individual may make an application to a District Council for approval as a:
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Supervisor under section 2552,
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Director or Executive under section 2552,
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Registered Representative, Investment Representative, Portfolio Manager and Associate Portfolio Manager under section 2553,
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Chief Financial Officer, Chief Compliance Officer, or Ultimate Designated Person under section 2552, or
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Trader under section 2557.
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A District Council must approve an application under subsection 9204(1), unless in its opinion:
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the applicant:
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does not comply with IIROC requirements,
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is likely not to comply with IIROC requirements, or
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does not comply with securities laws relating to or is not suitable for approval on the basis of training, experience, solvency or integrity, or
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the approval is otherwise not in the public interest.
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A District Council may approve an application under subsection 9204(1), subject to any terms and conditions it considers appropriate.
There is no history log for this rule.