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Thanks to the RCCAQ's efforts, Quebec's Autorité des marchés financiers (AMF) will now be advising brokerage firm managers whenever certified employees are sent a renewal notice for their insurance certificate.
A number of member firms asked the RCCAQ to lobby the AMF to automatically provide a copy of the renewal notice sent to certified employees to management as well in order to ensure effective oversight of brokerage employees and proper follow-up action.
Effective April 2017, brokerage firm managers will be receiving copies of the renewal notices sent to their certified employees.
We are pleased that the AMF addressed the concerns expressed by the managers of our member firms.
