D-9.2, r. 14 - Regulation respecting the compulsory professional development of financial planners

Section 13 Disposition versions

2012-09-01

13. During a reference period, a financial planner must, personally or through the firm for which the financial planner is acting or the independent partnership of which the financial planner is a partner or employee, send to the Authority a copy of the attendance vouchers that the financial planner is required to keep in accordance with section 12.

Despite the foregoing, a financial planner is exempt from the requirement under the first paragraph if the financial planner or the firm for which the financial planner is acting or the independent partnership of which the financial planner is a partner or employee, sends the attendance vouchers for professional development activities by means of secured access to the IQPF’s website. The financial planner is required to send a copy of the vouchers only if the Authority so requires for data verification purposes, in which case paper copies must be provided within 30 days of the Authority’s request.

O.C. 970-2007, s. 13.