D-9.2, r. 13.2 - Regulation respecting the compulsory professional development of mortgage brokers

Section 5 Disposition versions

2020-05-01

5. A mortgage broker who acts as a responsible officer must, for any reference period, in addition to complying with section 4 of this Regulation, take part in professional development activities recognized by the Authority and accumulate at least 6 PDUs related to training activities included among the following subjects:

(1)  compliance with standards;

(2)  ethics and professional conduct or professional practice;

(3)  keeping of records and registers;

(4)  risk management;

(5)  prevention of fraud or money laundering;

(6)  firm start-up and management.

M.O. 2020-01, s. 5.

Not in force

In force: 2020-05-01

5. A mortgage broker who acts as a responsible officer must, for any reference period, in addition to complying with section 4 of this Regulation, take part in professional development activities recognized by the Authority and accumulate at least 6 PDUs related to training activities included among the following subjects:

(1)  compliance with standards;

(2)  ethics and professional conduct or professional practice;

(3)  keeping of records and registers;

(4)  risk management;

(5)  prevention of fraud or money laundering;

(6)  firm start-up and management.

M.O. 2020-01, s. 5.