Staff
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.
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.
Related documents:
- Rules Notice: Client Relationship Model – Implementation
- Rules Notice: Client Relationship Model – Guidance
- Rules Notice: Know your client and suitability – Guidance
- Rules Notice: Client Relationship Model – Phase 2 – Implementation
- Rules Notice: Client Relationship Model – Phase 2 – Republication
Also read: