The Client Focused Reforms (CFRs) are a suite of amendments that represent a continued evolution of the original Fair Dealing Model (FDM) initiative created by the Ontario Securities Commission in 2004. At inception, the FDM (and by extension, the CFRs) contemplated changes to existing regulatory requirements, including the information provided to clients at both account opening and throughout the registrant-client relationship, as well as information provided to clients pertaining to ongoing transactions as well as overall reporting on performance. This course is part of a series that explores the CFR developments. In this course, we specifically discuss the changes to the relationship disclosure obligations that registrants have to clients.
This CE course is suitable for investment advisors, mutual fund representatives, portfolio managers, exempt market dealing representatives, wealth managers and others within the financial services industry who would like to learn more about responsible investment
Individuals licensed to sell securities that are subject to Professional Development CE requirements.
The Overview of CFR and Relationship Disclosure online mini-course course meets the CSA’s CFR training mandate as well as satisfying continued education compliance requirements for IIROC and other jurisdictions.