Registrant Outreach: New Custody Rules and CRM2 Refresher (Session B: In-Person)

OSC Registrant Outreach Seminar Past Event
Oct 09, 2018
10:00 am  -  12:00 pm
22nd Floor Training Room, Ontario Securities Commission, 20 Queen Street West Toronto, ON

 

This seminar will provide an overview of:

  • The new Custody Rules that have recently come into effect, focusing on the impact of these rules on registered firms and addressing certain frequently asked questions
  • The CRM2 rules, including highlights of our findings from our recent CRM2 reviews, and guidance and best practices on policies and procedures for preparing CRM2 reports

 

Who should attend:

Registered representatives, ultimate designated persons, chief compliance officers, persons responsible for client reporting, and legal counsel of registrants (e.g., IFMs, PMs, EMDs and SPDs).

 

Benefits:

  • Enhance understanding of the recent changes to Custody Rules that are now in effect
  • Obtain a refresher on the CRM2 rules

 

Documents:

portfolio managers