D-9.2, r. 14.1 - Regulation respecting the compulsory professional development of financial planners

Section 15 Disposition versions

2012-09-01

15. During a reference period or within 20 days after receipt of the notice referred to in section 13, a financial planner must, personally or through the firm for which the financial planner is acting or the independent partnership of which the financial planner is a partner or employee, send to the Authority a copy of the supporting documents for the activities in which he took part. If the financial planner fails to send the Authority a copy of the required supporting documents, the PDUs for the recognized activities in question are not to be considered valid for purposes of the professional development requirements prescribed by this Regulation.

However, a financial planner is exempt from the requirement under the first paragraph if the financial planner or the firm for which the financial planner is acting or the independent partnership of which the financial planner is a partner or employee registers his attendance at the professional development activities by means of secured access to the IQPF’s website. The financial planner must send a copy of supporting documents only if the Authority so requires for data verification purposes, in which case paper copies must be provided within 30 days of the Authority’s request.

M.O. 2011-07, s. 15.