D-9.2, r. 13.1 - Regulation of the Chambre de la sécurité financière respecting compulsory professional development

Section 15 Disposition versions

2012-09-01

15. Within 30 days after the end of a reference period, the Chamber must send a notice to each representative who has failed to comply with the professional development requirements prescribed by this Regulation informing him of the consequences under section 13, under the second paragraph of section 218 of An Act respecting the distribution of financial products and services (chapter D-9.2), under the second paragraph of section 151.0.1 of the Securities Act (chapter V-1.1) and under sections 57 and 63 of the Regulation respecting the issuance and renewal of representatives’ certificates (chapter D-9.2, r. 7).

The Chamber must inform the Autorité des marchés financiers when it sends such notice to a representative.

M.O. 2011-06, s. 15.