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Updated guidance on the Fit and Proper Test for Approved Persons
26-0135
Type: Rules Bulletin >
Other
Distribute internally to
Legal and Compliance
Registration
Senior Management
Training
Rulebook connection
IDPC Rules
MFDR
Division
Investment Dealer
Mutual Fund Dealer
Contact
Registration
The Canadian Investment Regulatory Organization is replacing Guidance Note 9200-21-001 IIROC Registration – The Fit and Proper Test for Approved Persons with the updated guidance attached as Appendix 1.
The guidance was updated to reflect CIRO's enhanced delegation functions for investment dealers (ID), mutual fund dealers (MFD) and associated individuals.
Appendices
Appendix 1 – Updated Guidance Note: CIRO Registration – The Fit and Proper Test for Approved Persons
26-0135
Type: Rules Bulletin >
Other
Distribute internally to
Legal and Compliance
Registration
Senior Management
Training
Rulebook connection
IDPC Rules
MFDR
Division
Investment Dealer
Mutual Fund Dealer
Contact
Registration
Other Notices associated with this Enforcement Proceeding:
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