The self-regulatory organization granted 634 exemptions from specific rules in 2015
The new CE course is designed to teach advisors about disclosure requirements and obligations
The regulator is seeking feedback on whether to include costs imposed by fund managers
Document aims to clarify firms’ obligations under the first phase of the Client Relationship Model rules
The exemption relates to reporting requirement for firms that have relatively small amounts of client assets held off-book
"Bad" advisors will experience money in motion
Get the most up to date information and guidance on implementing the Client Relationship Model (CRM2), including practical tips, key deadlines and managing the client relationship
A renewed focus on firm culture is the most productive future direction
Don’t hide your fees from clients. Make them clear and demonstrate the value you provide
Adrian Walrath, assistant director, Investment Industry Association of Canada (IIAC), says advisors must be prepared to explain discrepancies between the fee and charges reports and performance reports that clients receive under CRM2.