Registrant Outreach: New Custody Rules and CRM2 Refresher (Session A: Webinar)

OSC Registrant Outreach Seminar Past Event
Oct 02, 2018
02:00 pm  -  04:00 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:

osc webinar