IIROC CONSULTATION PAPER (PHASE II) — COMPETENCY PROFILES FOR DIRECTORS, EXECUTIVES, UDPS, CCOS, AND CFOS
IIAC calls for working group members
IIROC is continuing the process of developing and publishing competency profiles for all IIROC approval categories.
In Phase II, IIROC is seeking feedback on competency profiles for Directors, Executives, Ultimate Designated Persons, Chief Compliance Officers, and Chief Financial Officers.
Profiles will be used to:
The IIAC previously provided comments on IIROC’s Phase I proposed competency profiles for Registered Representative and Investment Representative categories.
The IIAC is reconstituting its Competency Profiles Working Group to respond to the IIROC Consultation Paper. Comments are due by December 29, 2021.
If you are interested in participating on the working group, please contact Gillian O’Mahony.
If you have any questions, please contact Adrian Walrath.