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

Section 13 Disposition versions

2012-09-01

13. A representative who, at the end of a reference period, has failed to comply with the professional development requirements prescribed by this Regulation may not assign to the period in respect of which he is in default PDUs accumulated during the subsequent reference period, unless the Authority has rendered a suspension decision under the second paragraph of section 218 of An Act respecting the distribution of financial products and services (chapter D-9.2) or the second paragraph of section 151.0.1 of the Securities Act (chapter V-1.1), and such decision has been fully executed.

M.O. 2011-06, s. 13.