Information related to the individual’s employment history with the Financial Institution:

i. the duration of employment.
ii. the roles and job functions of the individual (including last position held); and
iii. the reason for the cessation of employment, including but not limited to the following:

– resignation.
– resignation by paying compensation in lieu of notice prior to or during investigation
– termination.
– dismissal; or
– expiry of contract.

The Financial Institution should obtain compliance records related to the individual’s fitness and propriety, unless doing so could risk tipping off the individual and compromising the integrity of ongoing investigations. These records should include information on:

i. Investigations that have concluded with reasonable grounds to believe that a wrongdoing has been committed, as well as the extent of consumer harm resulting from the wrongdoing (if applicable).
ii. Ongoing investigations and the extent of consumer harm resulting from substantiated wrongdoing.
iii. Instances where the Financial Institution has knowledge of, or reasonable grounds to believe that the individual has or may have breached legal or regulatory requirements while performing their duties as an employee of the Financial Institution, and the extent of consumer harm resulting from the incident.
iv. Disciplinary actions taken against the individual, or that would have been taken against them if they were still employed by the Financial Institution (if applicable).
v. Whether misconduct reports were filed against the individual with MAS, and if so, details on the nature of the misconduct committed and the extent of consumer harm resulting from the misconduct.

The FI should provide information on the individual’s most recent four balanced scorecard ratings, if applicable.

If available and applicable, the FI should provide information on the persistency ratio of any insurance policies sold by the individual, as well as the method used to calculate the ratio.