Approved Person definition

Approved Person means, in respect of a member (Member) of the Investment Industry Regulatory Organization of Canada (IIROC), an individual who is a partner, director, officer, employee or agent of a Member who is approved by IIROC or another Canadian SRO to perform any function required under any IIROC or other Canadian SRO by-law, rule, or policy;

Approved Person means an individual authorised by the Relevant Authority to perform a controlled function within the Credit Union.

Approved Person means a person approved by the Minister;

Examples of Approved Person in a sentence

• Shortly after the Respondent became an Approved Person at DSL in August 2008, client LT and her husband client XX transferred their investment accounts and became clients of 1On September 28, 2009, as a result of the implementation of National Instrument 31-103, the mutual fund salesperson registration category was changed to “dealing representative – mutual fund dealer”.

• The questionnaire listed various types of information that Approved Persons were required to report to the dealer including outside business activities, referral arrangements and client complaints and in their response, Approved Persons were required to certify that they had informed the Member of all material information or changes to information listed on the questionnaire including the outside business activities that the Approved Person was engaged in.

• In early 2016, the Respondent entered into an arrangement with EC, an Approved Person with Worldsource Financial Management Inc.

More Definitions of Approved Person

Approved Person means any employee of Contractor or any subcontractor who (i) has been screened and approved by the Judicial Council pursuant to the Judicial Council Screening Process and (ii) when working in a the Facility, has passed any additional Court-required screening and background check requirements which that Court requires of contractors working in that Facility, as described in the above section relating to Court-required screening.

Approved Person means a person —

Approved Person means an individual who is a partner, director, officer, compliance officer, branch manager, or alternate branch manager, employee or agent of the Member who (i) is registered or permitted, where required by applicable securities legislation, by the securities commission having jurisdiction, or (ii) submits to the jurisdiction of the Corporation;

Approved Person means a taxable person whose application to be an approved person has been granted by the Comptroller under paragraph (5);

Approved Person means any person who is approved by the Director, by certificate in writing, to carry out examinations of steam receivers in accordance with, and for the purposes of, this section and to issue the certificate referred to in subsection (6);

Approved Person means a person who holds a current approval;

Approved Person means an eligible person approved in writing by the Authority for the purposes of this section. [Section 47 amended by No. 28 of 2006 s. 332.]