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

Section 17 Disposition versions

2012-09-01

17. During a reference period and within no more than 20 days after receipt of the notice referred to in section 15, a representative must, personally or through the firm or broker for which the representative is acting or the independent partnership of which the representative is a partner or employee, send to the Chamber a copy of the attendance vouchers or the certificates of exam or test results for the recognized activities in which he took part. If he fails to do so, the PDUs for the recognized activities in question will not be considered valid for purposes of the professional development requirements prescribed by this Regulation.

The obligation set out in the first paragraph is fulfilled if a representative informs the Chamber of his attendance or exam or test results for a recognized activity in which he took part by means of the secured electronic access provided by the Chamber. The representative is then not required to send a copy of the vouchers or certificates mentioned in the first paragraph, unless the Chamber so requires for purposes of verifying the data transmitted electronically.

In such a case, paper copies of the vouchers and certificates must be sent within 30 days following receipt of the Chamber’s request.

If a representative fails to comply with such request, the Chamber must send him a notice stating that he has an additional 20 days following his receipt of the notice to remedy the default and provide the required documents. The notice must also inform the representative that, if he does not provide the required vouchers and certificates within the stipulated time limit, the PDUs for the training activities contemplated in the request will not be considered valid for purposes of the professional development requirements prescribed by this Regulation.

M.O. 2011-06, s. 17.