Cross-country presentations will focus on four key topics
Both the MFDA and IIROC allow a two-year transition period for firms to get in compliance
Rule changes address relationship disclosure, conflicts of interest, suitability and performance reporting
Deadlines set for firms to meet new requirements
Exemption applies for one year, or until SROs’ CRM rules take effect
Amendments partly represent MFDA’s implementation of the Client Relationship Model
Changes meant minimize differences with IIROC CRM
New rule meant to clarify IIROC’s position regarding the management of conflicts of interest
Advisors uneasy about MFDA’s public consultation process
Investors deserve comparable standard of protection whether a is registrant under MFDA or IIROC