9204. Individual approval applications 

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    1. An individual may make an application to a District Council for approval as a: 

      1. Supervisor under section 2552, 

      2. Director or Executive under section 2552, 

      3. Registered Representative, Investment Representative, Portfolio Manager and Associate Portfolio Manager under section 2553, 

      4. Chief Financial Officer, Chief Compliance Officer, or Ultimate Designated Person under section 2552, or 

      5. Trader under section 2557.  

    2. A District Council must approve an application under subsection 9204(1), unless in its opinion: 

      1. the applicant: 

        1. does not comply with IIROC requirements

        2. is likely not to comply with IIROC requirements, or 

        3. does not comply with securities laws relating to or is not suitable for approval on the basis of training, experience, solvency or integrity, or 

      2. the approval is otherwise not in the public interest. 

    3. 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.

    There is no history log for this rule.