Provides guidance on the minimum academic and examination requirements as well as continuing education requirements for representatives of capital markets services licensees, banks, merchant banks, finance companies and insurers.
Notice SFA 04-N10 Entry Requirements of a Provisional or Temporary Representative
This notice applies to:
- Capital markets services (CMS) licensees.
- Banks, merchant banks, finance companies and insurers conducting regulated activities under the SFA.
It sets out minimum entry requirements, such as regulatory status, prior experience and qualifications, for individuals to be appointed as provisional or temporary representatives, as well as the validity period of such appointments.
There are no amendment notes for this notice.