MFDA seeks comment on CRM II amendments

By Staff | June 13, 2014 | Last updated on June 13, 2014
1 min read

The MFDA is seeking comment on proposed amendments to MFDA Rules 2.8.3 (Rates of Return), 5.3 (Client Reporting) and 5.4 (Trade Confirmations).

Read: CRM II requirements for 2014

The amendments’ objective is to bring MFDA rules into line with requirements introduced into NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations in the areas of: client statements, charges and compensation disclosure and performance reporting.

The amendments to NI 31-103 came into force on July 15, 2013.

Click here for a copy of the MFDA Notice.

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