D-9.2, r. 2 - Regulation respecting firms, independent representatives and independent partnerships

Section 21.2 Disposition versions

2023-12-02

21.2. A firm must keep a record on the outside activities, within the meaning of section 5.1 of the Regulation respecting the pursuit of activities as a representative (chapter D-9.2, r. 10), pursued by each representative who acts on its behalf. An independent partnership must keep such a record in respect of each of its partners and each of the representatives who are employed by it. An independent representative must keep such a record in respect of his outside activities.

Such a record must include the following documents and information:

(1)  a description of the outside activity;

(2)  if applicable, the representative’s declaration of pursuit of outside activity;

(3)  the start date and end date, if known, of the outside activity;

(4)  the actions taken, if applicable, by the firm or independent partnership to ensure that the representative acts on its behalf in accordance with the Act respecting the distribution of financial products and services (chapter D-9.2) and the actions taken by the independent representative to ensure that he acts in accordance with the Act.

M.O. 2023-05, s. 2.

Not in force

In force: 2023-12-02

21.2. A firm must keep a record on the outside activities, within the meaning of section 5.1 of the Regulation respecting the pursuit of activities as a representative (chapter D-9.2, r. 10), pursued by each representative who acts on its behalf. An independent partnership must keep such a record in respect of each of its partners and each of the representatives who are employed by it. An independent representative must keep such a record in respect of his outside activities.

Such a record must include the following documents and information:

(1)  a description of the outside activity;

(2)  if applicable, the representative’s declaration of pursuit of outside activity;

(3)  the start date and end date, if known, of the outside activity;

(4)  the actions taken, if applicable, by the firm or independent partnership to ensure that the representative acts on its behalf in accordance with the Act respecting the distribution of financial products and services (chapter D-9.2) and the actions taken by the independent representative to ensure that he acts in accordance with the Act.

M.O. 2023-05, s. 2.