CRM2 Reporting to Clients and Portfolio Manager - IIROC Dealer Member Service Arrangements (PMDSAs) (Session A: Webinar)

OSC Registrant Outreach Seminar Past Event
21 fév. 2017
14h00  -  16h00
Online webinar

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.

osc webinar