CRM2 Reporting to Clients and Portfolio Manager - IIROC Dealer Member Service Arrangements (PMDSAs) (Session B: In-Person)
Feb
23, 2017
02:00 pm
-
04:00 pm
OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
Event Details
This seminar will provide an overview of client relationship model phase 2 (CRM2) requirements and focus specifically on client statements, the Report on Charges and Other Compensation, and the Investment Performance Report. The session will also cover CSA Staff Notice 31-347 Guidance for Portfolio Managers for Service Arrangements with IIROC Dealer Members, which sets out regulatory expectations for portfolio managers (PMs) with PMDSAs, including for books and records, agreements, disclosure and client reporting.
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