D-9.2 - Act respecting the distribution of financial products and services

Section 200 Disposition versions

2024-05-09

200. The Authority may, for each discipline, determine by regulation

(1)  the minimum qualifications required to obtain a certificate, the courses that an applicant for a certificate must take, and the rules relating to the preparation and passing of prescribed examinations;

(2)  the cases in which the requirements of paragraph 1 do not apply;

(3)  the rules relating to compulsory training periods, the acts that trainees may perform during training periods, notwithstanding section 12, and the rules relating to the qualifications and the obligations of training supervisors;

(4)  the cases in which training periods are not compulsory;

(5)  the other conditions for obtaining a certificate;

(5.1)  the rules relating to compulsory professional development of financial planners, after consultation with the Institut québécois de planification financière;

(6)  the titles or abbreviations that a representative may use, the rules for obtaining authorization to use such titles and abbreviations, and the rules relating to their use;

(7)  the various classes of sectors;

(8)  the information that a representative must disclose to a person from whom the representative requires compensation, and the manner of disclosing the information;

(9)  the information and documents that a representative or prospective representative must furnish;

In force: 2025-05-09

(10)  in the claims adjustment sector, the rules relating to the qualifications and obligations of representatives who supervise a person referred to in subparagraph 3 of the second paragraph of section 10.

1998, c. 37, s. 200; 2002, c. 45, s. 395; 2004, c. 37, s. 90; 2024, c. 15, s. 101.

2004-12-17

200. The Authority may, for each discipline, determine by regulation

(1)  the minimum qualifications required to obtain a certificate, the courses that an applicant for a certificate must take, and the rules relating to the preparation and passing of prescribed examinations;

(2)  the cases in which the requirements of paragraph 1 do not apply;

(3)  the rules relating to compulsory training periods, the acts that trainees may perform during training periods, notwithstanding section 12, and the rules relating to the obligations of training supervisors;

(4)  the cases in which training periods are not compulsory;

(5)  the other conditions for obtaining a certificate;

(5.1)  the rules relating to compulsory professional development of financial planners, after consultation with the Institut québécois de planification financière;

(6)  the titles or abbreviations that a representative may use, the rules for obtaining authorization to use such titles and abbreviations, and the rules relating to their use;

(7)  the various classes of sectors;

(8)  the information that a representative must disclose to a person from whom the representative requires compensation, and the manner of disclosing the information;

(9)  the information and documents that a representative or prospective representative must furnish.

1998, c. 37, s. 200; 2002, c. 45, s. 395; 2004, c. 37, s. 90.

2004-02-01

200. The Agency may, for each discipline, determine by regulation

(1)  the minimum qualifications required to obtain a certificate, the courses that an applicant for a certificate must take, and the rules relating to the preparation and passing of prescribed examinations;

(2)  the cases in which the requirements of paragraph 1 do not apply;

(3)  the rules relating to compulsory training periods, the acts that trainees may perform during training periods, notwithstanding section 12, and the rules relating to the obligations of training supervisors;

(4)  the cases in which training periods are not compulsory;

(5)  the other conditions for obtaining a certificate;

(5.1)  the rules relating to compulsory professional development of financial planners, after consultation with the Institut québécois de planification financière;

(6)  the titles or abbreviations that a representative may use, the rules for obtaining authorization to use such titles and abbreviations, and the rules relating to their use;

(7)  the various classes of sectors;

(8)  the information that a representative must disclose to a person from whom the representative requires compensation, and the manner of disclosing the information;

(9)  the information and documents that a representative or prospective representative must furnish.

1998, c. 37, s. 200; 2002, c. 45, s. 395.

1999-02-24

200. The Bureau, with regard to insurance representatives, claims adjusters and financial planners, and the Commission, with regard to securities representatives, may make regulations to determine, for each sector,

(1)  the minimum qualifications required to obtain a certificate, the courses that an applicant for a certificate must take, and the rules relating to the preparation and passing of prescribed examinations;

(2)  the cases in which the requirements of paragraph 1 do not apply;

(3)  the rules relating to compulsory training periods, the acts that trainees may perform during training periods, notwithstanding section 12, and the rules relating to the obligations of training supervisors;

(4)  the cases in which training periods are not compulsory;

(5)  the other conditions for obtaining a certificate;

(6)  the titles or abbreviations that a representative may use, the rules for obtaining authorization to use such titles and abbreviations, and the rules relating to their use;

(7)  the various classes of sectors;

(8)  the information that a representative must disclose to a person from whom the representative requires compensation, and the manner of disclosing the information;

(9)  the information and documents that a representative or prospective representative must furnish.

1998, c. 37, s. 200.