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D-9.2, r. 13.2 - Regulation respecting the compulsory professional development of mortgage brokers
Section 5
Disposition versions
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.
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.
