This past Thursday, the CSA published rule amendments to implement the Client Focused Reforms across Canada. The reforms introduce new obligations on registrants, or codify best practices, particularly in relation to registrant’s obligations to know your product, know your client, specific suitability factors, conflicts of interest, and relationship disclosure information.
IIAC Vice President, Michelle Alexander, is hosting a session on Tuesday, October 8 from 2:00 p.m. to 3:00 p.m. EDT to provide an overview of the rule amendments and take questions from members. If you are interested in attending in person or by conference call, please contact Katherine Tiller at ktiller@iiac.ca.
A summary of the new rules and analysis will be provided to members next week. If you have any questions on the amendments, please contact Michelle Alexander at malexander@iiac.ca.