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ARTICLE · 09 AUGUST 2019

IIROC Proposes Significant Changes To Continuing Education Rules

McCarthy Tétrault
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Each CE requirement may be met by taking one course, or a series of eligible courses.

CanadaCorporate/Commercial Law
Canadian Securities Regulatory Monitor
Canadian Securities Regulatory Monitor
Cristian Blidariu
Cristian Blidariu
Sean Sadler
Sean Sadler
Rene Sorell
Rene Sorell
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The Investment Industry Regulatory Organization of Canada (IIROC) recently published for comment proposed amendments (Proposed Amendments) to its continuous education rules (CE Rules). The Proposed Amendments would recognize more foreign courses for CE credit, but also tighten the rules for former Approved Persons and dealer member firms (Firms) that are late in reporting compliance with CE requirements.

The current CE Rules require registered and approved individuals (Approved Persons) to complete a 10-hour Compliance course and, depending on their approval category, an additional 20-hour Professional Development course. Each CE requirement may be met by taking one course, or a series of eligible courses.

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