The Investment Industry Regulatory Organization of Canada (IIROC) is seeking information from dealers on employees that are designated supervisors as part of its ongoing effort to overhaul its continuing education (CE) requirements.
In a notice to dealers published Monday, IIROC is asking dealers to provide it with a list of personnel that are approved as a “designated supervisor,” as of Jan. 1.
The information request follows recent changes to IIROC’s CE rules, which impose new CE requirements on supervisors under its new two-year CE cycle.
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Firms have until March 31, to provide the self-regulatory organization (SRO) with the required information.