CRM Tools and Tips
These materials will help advisors build their knowledge and talk to their clients about the changes arising from CRM2. Many of these items were developed through wide collaboration with industry members and consultation with other stakeholders.
The list includes issues of IFIC’s advisor-focussed information bulletin, Advisor Insights. The material in Advisor Insights uses plain language to make it easier for your clients to understand their new reports and to ask meaningful questions.
Documents
2017
Your Guide to Investment Funds – Winter 2017
Understand your investments and secure your future.
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.
Advisor Insights – CRM2 Myths and Facts
This fact sheet focuses on frequent factual errors observed in media coverage about the timing and content of CRM2 reporting requirements. It has been prepared to provide advisors with accurate information about key aspects of CRM2. The same information has been provided to journalists in an effort to improve the accuracy of media coverage.
2014
Advisor Insights – Pre-Trade Disclosure (IFIC) – IFIC-branded
Outline of requirement of new rule to help companies meet July 15, 2014 requirement to provide investors with pre-trade disclosure.
2011
Understand your investments and secure your future.
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.
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.
Advisor Insights – CRM2 Myths and Facts
This fact sheet focuses on frequent factual errors observed in media coverage about the timing and content of CRM2 reporting requirements. It has been prepared to provide advisors with accurate information about key aspects of CRM2. The same information has been provided to journalists in an effort to improve the accuracy of media coverage.
2014
Advisor Insights – Pre-Trade Disclosure (IFIC) – IFIC-branded
Outline of requirement of new rule to help companies meet July 15, 2014 requirement to provide investors with pre-trade disclosure.
2011
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 fact sheet focuses on frequent factual errors observed in media coverage about the timing and content of CRM2 reporting requirements. It has been prepared to provide advisors with accurate information about key aspects of CRM2. The same information has been provided to journalists in an effort to improve the accuracy of media coverage.
Outline of requirement of new rule to help companies meet July 15, 2014 requirement to provide investors with pre-trade disclosure.
