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

Section 3 Disposition versions

2017-05-24

3. A financial planner must, in respect of any reference period, take part in professional development activities and accumulate 40 PDUs apportioned as follows:

(1)  15 PDUs related to training activities developed and provided by or in partnership with the IQPF involving integrated financial planning in the following 7 areas:

(a)  finance;

(b)  taxation;

(c)  legal aspects;

(d)  retirement planning;

(e)  estate planning;

(f)  investment;

(g)  insurance;

(2)  15 PDUs related to training activities recognized by the Authority or developed and provided by a recognized supplier in one or more of the 7 areas listed in subparagraph 1; and

(3)  10 PDUs related to training activities recognized by the Authority or developed and provided by a recognized supplier in subjects pertaining to compliance with standards, ethics and business conduct, including 5 PDUs related directly to financial planning.

At the end of every second reference period, the 10 PDUs that the financial planner must accumulate under subparagraph 3 of the first paragraph are to include 5 PDUs related to a training activity developed and provided by or in partnership with the IQPF in subjects pertaining to compliance with standards, ethics and business conduct or regarding developments in the rules of law governing financial planners.

M.O. 2011-07, s. 3; M.O. 2017-05, s. 2.

2012-09-01

3. A financial planner must, in respect of any reference period, take part in professional development activities and accumulate 40 PDUs apportioned as follows:

(1)  15 PDUs related to training activities developed and provided by or in partnership with the IQPF involving integrated financial planning in the following 7 areas:

(a)  finance;

(b)  taxation;

(c)  legal aspects;

(d)  retirement planning;

(e)  estate planning;

(f)  investment;

(g)  insurance;

(2)  15 PDUs related to training activities recognized by the Authority in one or more of the 7 areas listed in subparagraph 1; and

(3)  10 PDUs related to training activities recognized by the Authority in subjects pertaining to compliance with standards, ethics and business conduct, including 5 PDUs related directly to financial planning.

At the end of every second reference period, the 10 PDUs that the financial planner must accumulate under subparagraph 3 of the first paragraph are to include 5 PDUs related to a training activity developed and provided by or in partnership with the IQPF in subjects pertaining to compliance with standards, ethics and business conduct or regarding developments in the rules of law governing financial planners.

M.O. 2011-07, s. 3.