Calendar of Events
Registrant Outreach offers a series of free educational seminars to registrants and other industry participants to help them understand their regulatory requirements.
Click on the seminars below to see more details, including a description of the seminar and the benefits of attending. Space is limited, so sign up early.
CRM2 Reporting to Clients and Portfolio Manager - IIROC Dealer Member Service Arrangements (PMDSAs)
|Date:||Session A: Webinar
February 21, 2017
|Session B: In-Person
February 23, 2017
|Time:||2:00 p.m. – 4:00 p.m.||2:00 p.m. – 4:00 p.m.|
|Location for In-person Session:||22nd Floor Training Room
Ontario Securities Commission
20 Queen Street West
|Description:||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.|
|Who should attend:||Registered representatives, chief compliance officers, ultimate designated persons, and persons responsible for client reporting.|