Supervisors and replacement supervisors

A representative may act as a supervisor if he is authorized to pursue activities as a representative as at the date of the probationary period and he has held a certificate for at least 24 of the past 36 months in the same sector or sector class in which the candidate wishes to pursue activities. In addition, a supervisor must satisfy certain honesty criteria, in particular:

1. in the five years preceding the candidate’s application, the supervisor has not been the subject of a disciplinary sanction imposed by a disciplinary committee established under An Act respecting the distribution of financial products and services, or the Court of Québec sitting in appeal of a decision issued by such a committee;

2. in the five years preceding the candidate’s application, the supervisor has never been excluded or struck off the roll by a disciplinary committee of a professional order;

3. the supervisor has not been the subject of disciplinary, financial or penal conditions or restrictions issued under sections 218, 219 or 220 of An Act respecting the distribution of financial products and services.

During the probationary period, the supervisor is responsible for all the trainee's professional activities. This supervision is important to ensure that the trainee does not commit any errors or omissions. Generally, he must:

• provide the probationary certificate holder with a working environment conducive to learning and developing his skills;

• determine the tasks the holder must carry out, specifying the time limits in which they must be completed;

• help the holder gradually pursue the activities reserved for representatives;

• at least once a week, evaluate and review the tasks carried out by the holder. The supervisor may perform closer supervision as required.

• inform the AMF, within five days, if the holder has discontinued or interrupted his probationary period.

Depending on the sector or sector class in which the trainee is registered, the supervisor is charged with specific responsibilities:

• Personal-lines damage insurance:
   
  Where products and services pertaining to personal-lines damage insurance are offered, the supervisor must, within the next business day, review the probationary certificate holder’s work and enter the review in the client’s file.
   

• Commercial-lines damage insurance:
   
  The supervisor must approve the products and services offered by the holder of a probationary certificate before they are recommended to the client, enter this approval in the client’s file and countersign, where applicable, any proposal or form, in particular, notices for purposes of replacement.
   

• Accident and sickness insurance:
  
  The supervisor must approve the products and services offered by the holder of a probationary certificate before they are recommended to the client, enter this approval in the client’s file and countersign, where applicable, any proposal or form, in particular, notices for purposes of replacement.
   

• Insurance of persons:
   
  The supervisor must approve the products and services offered by the holder of a probationary certificate before they are recommended to the client, enter this approval in the client’s file and countersign, where applicable, any proposal or form, in particular, notices for purposes of replacement.
   

• Group insurance of persons:
  
  The supervisor must approve the products and services offered by the holder of a probationary certificate before they are recommended to the client, enter this approval in the client’s file and countersign, where applicable, any proposal or form, in particular, notices for purposes of replacement.
   

• Claims adjustment:
  
  The supervisor must approve the products and services offered by the holder of a probationary certificate before they are recommended to the client, enter this approval in the client’s file and countersign, where applicable, any proposal or form, in particular, notices for purposes of replacement.

Supervisors are entitled to take vacation. If a trainee has only one supervisor, the supervisor may take vacation during the probationary period. He must notify the AMF in writing of the supervisor who will replace him by completing Appendix A (Statement of Supervisor) and Appendix B (Statement of Replacement Supervisor) of the Application for Probationary Certificate. The AMF must receive these documents at least 10 business days before the date on which the supervisor intends to begin his vacation.

If a trainee has two supervisors, one supervisor may take vacation. He does not need to complete the above-mentioned appendices, since the other supervisor will be supervising the trainee during his absence.