Terms and conditions

Responsibilities of the Dealer/Firm related to the disclosure of personal information

You have the opportunity to support your advisors in ensuring that they meet their continuing education requirements.

Advisor's content

You will have access to the Professional Development Units record of advisors who gave prior consent to the disclosure of their information.

Delegation

The Chief Compliance Officer of a dealer/ the responsible officer of a firm is authorized to delegate his responsibilities, namely the access to the portal, to other authorized members in his organization, to the extent that the performance of their duties so requires. These authorized persons will have the same duties and obligations.

The chief compliance officer of a dealer/ the responsible officer of a firm undertakes to keep the data of authorized persons updated via the portal or to notify the Chambre de l'Assurance or the Canadian Investment Regulatory Organization of any change affecting their role.

Undertaking of the Dealer/Firm

The dealer/firm acknowledges that the advisor’s information disclosed is confidential information and undertakes to:

1. keep this information confidential and refrain from disclosing it to any third party ;
2. use this information for compliance purposes only ;
3. adopt and implement appropriate and reasonable security measures to protect the information disclosed according to its sensitivity, intended use, quantity, distribution and format.

The dealer/firm agrees to inform the Chambre de l'Assurance or the Canadian Investment Regulatory Organization without delay of any attempted or successful violation, committed by any persons, of any of the confidentiality obligations related to the information disclosed.

The dealer/firm may be held responsible and financially liable for any act, omission, damages or losses, direct or indirect, resulting from failure to comply with these terms and conditions.