Other Documents
2016
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 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.
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.
