Related provisions for TC 2.1.15
1 - 1 of 1 items.
All continuing professional development should:17(1) be relevant to the retail investment adviser's current role and any anticipated changes to that role;(2) maintain the retail investment adviser's knowledge by reference to current qualification standards relevant to the retail investment adviser's role;(3) contribute to the retail investment adviser's professional skill and knowledge;(4) address any identified gaps in the retail investment adviser's technical knowledge; (5)
Continuing professional development completed by a retail investment adviser in relation to activities other than acting as a retail investment adviser should not be taken into account for the purposes of TC 2.1.15 R unless it is also relevant to the activity of acting as a retail investment adviser.1717
A firm must ensure that a retail investment adviser confirms annually in writing that the retail investment adviser has, in the preceding 12 months:17(1) complied with APER or COCON (as applicable)20; and(2) if applicable, completed the continuing professional development required under TC 2.1.15 R. 17