D-9.2, r. 7 - Regulation respecting the issuance and renewal of representatives’ certificates

Section 48.3 Disposition versions

2016-01-01

48.3. The supervisor must open a file for each trainee and enter, in particular, the tasks carried out by the trainee pursuant to section 48 and those he determines in accordance with subparagraph 1 of section 49. A summary of the supervisor’s meetings with the trainee and his notes concerning the trainee’s progress during the probationary period must be entered in the trainee’s file.

The file is to be maintained for a period of 5 years as of the date the probationary period is successfully completed or discontinued, by the firm or independent partnership where the supervisor pursues his activities or by the supervisor if he is an independent representative.

M.O. 2015-14, s. 21.