100 General
101 Compliance with Bylaws, Regulations and Rules of Professional Conduct
Members and students shall comply with the bylaws, rules and regulations and the Rules of Professional Conduct of the Institute as they may be from time to time and with any order or resolution of the Council or officers of the Institute under the bylaws.
102.1 Conviction of criminal or similar offenses
A member or student who has been:
(a) convicted of an offense of fraud, theft, forgery or tax evasion, or is convicted of an offense of conspiring or attempting to commit such offenses; or
(b) found guilty of violating the provisions of any securities legislation; or
(c) convicted of any criminal or similar offense for conduct in or relating to their professional capacity, or for conduct in circumstances where there was reliance on their membership in or association with the Institute; or,
(d) discharged absolutely or upon conviction after pleading guilty to or being found guilty of any offense described in (a), (b) or (c) above
shall promptly inform the Institute of the fact of the conviction, finding of guilt or discharge, as the case may be, when the right of appeal has been exhausted or expired.
102.2 This rule of professional conduct applies in respect of an event which occurs after the 10th day of June 1991.
102.3 Reporting disciplinary suspension, expulsion or restriction of right to practice
When, through the disciplinary process of another provincial institute:
(a) member is suspended or expelled from membership in that institute; or
(b) a member's right to practice is restricted by that institute, the member shall promptly inform the Institute of the fact of the suspension, expulsion or practice restriction.
103 False or misleading application
A member or student or any person who applies to become a member or student shall not sign or associate himself or herself with any letter, report, statement or representation relating to his or her application for admission or readmission to membership, or relating to his or her application for registration or reregistration as a student, which he or she knew, or should have known, was false or misleading.
Requirement to co-operate
104.1 A member or student or firm shall co-operate with the regulatory processes of the Institute.
104.2 A member, student or firm shall
(a) promptly reply in writing to any communication from the Institute in which a written reply is specifically required;
(b) promptly produce documents when required to do so by the Institute;
(c) attend in person in the manner requested when required to do so by the Institute in relation to the matters referred to in Rule 104.1.
Hindrance, inappropriate influence and intimidation (July 2011)
105.1 A member, student or firm shall not, directly or indirectly hinder any regulatory process of the Institute or otherwise attempt to exert inappropriate influence or pressure on the outcome of a regulatory matter of the Institute.
105.2 A member, student or firm shall not threaten or intimidate a complainant, witness, or any other person related to a regulatory matter of the Institute nor shall a member, student or firm threaten or intimidate officers, staff, volunteers or agents of the Institute acting on behalf of the Institute.
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