Implications of amendments to NI 31-103 for Client Relationship Model (Session B: In-Person)

Nov 21, 2013
10:00 am  -  12:00 pm
OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
Event Details

This seminar will provide an overview of the recent amendments to National Instrument 31-103Registration Requirements, Exemptions and Ongoing Registrant Obligations, which introduce performance reporting requirements and enhance existing cost disclosure requirements, as well as introduce some new client statement requirements. The amendments are relevant to all categories of registered dealer and registered adviser, with some application to investment fund managers. We will present a walk-through of the key provisions, discuss how the amendments apply to each registrant category, as well as touch on the time frame for implementation.

Who should attend:

Registered representatives and individuals responsible for compliance oversight at registered firms, as well as interested investors.

Benefits:

  • Know what the amendments are
  • Understand the investor focused reasons for the amendments
  • Gain an awareness of the transition or roll out period and what we expect will be happening during this time
  • Discuss how you and your firm may implement and roll out this new and improved investor information

Presentation slides:

Presentation slides:

Slides: Client Relationship Model Phase 2 (CRM2): Cost and Performance Reporting Requirements

Additional handouts:

Event Image
registrant outreach seminars