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ARTICLE · 03 FEBRUARY 2015

Regulators Adopt Changes To CRM2 Project

Stikeman Elliott LLP
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The Investment Industry Regulatory Organization of Canada announced that Phase 2 of its Client Relationship Model amendments have been approved by the applicable securities regulatory authorities.

CanadaCorporate/Commercial Law
The Securities Group
The Securities Group
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Earlier this week, the Investment Industry Regulatory Organization of Canada announced that Phase 2 of its Client Relationship Model amendments (CRM2) have been approved by the applicable securities regulatory authorities and will come into force over the course of the next two years.

Specifically, the amendments to IIROC's Dealer Member Rules, which were most recently published for comment in September 2014 introduce requirements with respect to (i) enhanced trade confirmation and account statement reporting; (ii) quarterly reporting on certain off-book client holdings; (iii) annual account performance reporting; and (iv) annual charge reporting. The changes come into force on July 15, 2015 and July 15, 2016. 

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