IIROC republishes remaining CRM reforms

By Staff | September 18, 2014 | Last updated on September 18, 2014
1 min read

IIROC has republished for further public comment the amendments in its Client Relationship Model (CRM) initiative, scheduled to take effect over the next two years.

Read: Meeting the challenge of CRM2

The amendments have been revised to incorporate a change requested by Canadian Securities Administrators (CSA) staff to align the scope of IIROC’s proposed “Report on client positions held outside of the Dealer Member” with the scope of the CSA’s equivalent “Additional Statement”.

Details of this change and other minor changes to the previously published version of these amendments are contained in the IIROC notice published today to solicit further public comment on the revised amendments.

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Advisor.ca staff


The staff of Advisor.ca have been covering news for financial advisors since 1998.