Other Documents
2016
Continuing Education Module on CRM2 Requirements
This online course, available free of charge, is offered by IFSE Institute (the educational arm of IFIC) to teach financial advisors about disclosure requirements and advisor obligations under CRM2. The course is designed for investment dealers, mutual fund dealers, exempt market dealers and their representatives.
CRM2 Spotlight: Considerations for Dealers
This bulletin outlines direction provided by the Canadian Securities Administrators (CSA) and the Mutual Fund Dealers Association (MFDA ) to assist dealers in meeting various requirements of CRM2. It focuses on three areas: the application of CRM2 to investments that are not securities, such as segregated fund contracts, annuities and GICs; transfer payments from affiliates; and referral fees.
2015
Dealer Checklist: CRM2 – 2015 Requirements (updated November 2015)
Outlines new information that dealers must include on clients’ account statements as of December 31, 2015, and provides insights and practical information to help dealers meet these requirement.
This online course, available free of charge, is offered by IFSE Institute (the educational arm of IFIC) to teach financial advisors about disclosure requirements and advisor obligations under CRM2. The course is designed for investment dealers, mutual fund dealers, exempt market dealers and their representatives.
This bulletin outlines direction provided by the Canadian Securities Administrators (CSA) and the Mutual Fund Dealers Association (MFDA ) to assist dealers in meeting various requirements of CRM2. It focuses on three areas: the application of CRM2 to investments that are not securities, such as segregated fund contracts, annuities and GICs; transfer payments from affiliates; and referral fees.
Outlines new information that dealers must include on clients’ account statements as of December 31, 2015, and provides insights and practical information to help dealers meet these requirement.
