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  • CRM2 Takes Effect Today; The IIAC Recognizes the Combined Efforts of Industry Participants and Regulators in Facing the Implementation Challenge Head-On | IIAC
    Newsroom Subject Matter Experts News Releases Op Eds The IIAC in the News Blog eNewsletter Speeches Upcoming Presentations Videos Canada s Investment Industry Faces Did You Know Logos Media Kit Social Media Policy Events Upcoming Events Webinars IIAC Investment Industry Hall of Fame IIAC Top Under 40 Award Take Our Kids to Work Day Compliance and Operations Symposium Small and Independent Dealers Symposium Cybersecurity Symposium Sponsorship Opportunities Hall of Fame Search IIAC Blog July 15 2014 CRM2 Takes Effect Today The IIAC Recognizes the Combined Efforts of Industry Participants and Regulators in Facing the Implementation Challenge Head On Following two years of CRM1 implementation the first major implementation date for the second phase of Client Relationship Model CRM requirements CRM2 is upon us Beginning no later than today dealers must provide the following to clients More comprehensive pre trade charge disclosures Additional details regarding commissions on trade confirmations for debt securities and Explanations about how to use benchmarks to help assess account performance These rules resulting from extensive communication between the industry s firms regulators and other stakeholders are designed to balance greater transparency when dealing with clients with the already extensive CRM requirements to which IIROC dealers are subject The IIAC was instrumental in helping to lead the concerted effort to prepare the industry for CRM2 implementation In all scores of volunteers from integrated and many retail IIAC member firms took part in six CRM2 working groups devoting thousands of hours toward the smooth and successful implementation of the new requirements requiring changes to systems policies procedures and documentation across the securities industry and their service and infrastructure providers As with any undertaking of this size and scale there have been challenges However all stakeholders in the industry that have been focusing on CRM2 remain committed to addressing future

    Original URL path: http://iiac.ca/crm2-takes-effect-today-the-iiac-recognizes-the-combined-efforts-of-industry-participants-and-regulators-in-facing-the-implementation-challenge-head-on/ (2016-02-14)
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  • CRM2 Webinar Recording Now Available | IIAC
    the IIAC Who We Are Board of Directors President CEO Subject Matter Experts IIAC Committees Working Groups IIAC Member Firms IIAC Affiliates Industry Job Board Advocacy Submissions Letters Letter from the President Key Issues Successes Activity Updates Member Support Cybersecurity Resource Centre CRM2 Resource Centre Industry Data Publications Public Advisories Institutional Trade Matching Tools Member Benefits Member Kit Members Only Small Dealers Overview Ian Russell on SAID Advocacy SAID Successes Publications Industry Data Tools SAID Committee Meeting Minutes Centres of Higher Learning Media Coverage SAID Events Investors Newsroom Subject Matter Experts News Releases Op Eds The IIAC in the News Blog eNewsletter Speeches Upcoming Presentations Videos Canada s Investment Industry Faces Did You Know Logos Media Kit Social Media Policy Events Upcoming Events Webinars IIAC Investment Industry Hall of Fame IIAC Top Under 40 Award Take Our Kids to Work Day Compliance and Operations Symposium Small and Independent Dealers Symposium Cybersecurity Symposium Sponsorship Opportunities Hall of Fame Search IIAC Blog June 20 2014 CRM2 Webinar Recording Now Available What Advisors Need to Know In the lead up to the July 15 2014 implementation deadline the IIAC hosted a webinar on June 12th with the goal of answering the questions advisors or their clients may have regarding CRM2 M ore than 260 IIAC member firm representatives participated indicating that uncertainty remains strong in the industry Participants heard from Fred Ketchen the Dean of Bay Street Susan Silma a regulatory architect of CRM and Mario Frankovich CEO Burgeonvest Bick Securities Limited and IIAC Board member For those who were unable to attend or wish to review the material presented please be advised that a recording of the webinar can now be accessed under Compliance on Investment Executive s new CE Place site Please note that the PowerPoint presentation that accompanied the webinar

    Original URL path: http://iiac.ca/webinar-recording-now-available/ (2016-02-14)
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  • Wealth Professional’s “Women of Influence”: The IIAC is Well Represented | IIAC
    and Operations Symposium Small and Independent Dealers Symposium Cybersecurity Symposium Sponsorship Opportunities Hall of Fame Home Member Login Contact Us About the IIAC Who We Are Board of Directors President CEO Subject Matter Experts IIAC Committees Working Groups IIAC Member Firms IIAC Affiliates Industry Job Board Advocacy Submissions Letters Letter from the President Key Issues Successes Activity Updates Member Support Cybersecurity Resource Centre CRM2 Resource Centre Industry Data Publications Public Advisories Institutional Trade Matching Tools Member Benefits Member Kit Members Only Small Dealers Overview Ian Russell on SAID Advocacy SAID Successes Publications Industry Data Tools SAID Committee Meeting Minutes Centres of Higher Learning Media Coverage SAID Events Investors Newsroom Subject Matter Experts News Releases Op Eds The IIAC in the News Blog eNewsletter Speeches Upcoming Presentations Videos Canada s Investment Industry Faces Did You Know Logos Media Kit Social Media Policy Events Upcoming Events Webinars IIAC Investment Industry Hall of Fame IIAC Top Under 40 Award Take Our Kids to Work Day Compliance and Operations Symposium Small and Independent Dealers Symposium Cybersecurity Symposium Sponsorship Opportunities Hall of Fame Search IIAC Blog March 11 2015 Wealth Professional s Women of Influence The IIAC is Well Represented The IIAC s very own Barb Amsden has been named one of Wealth Professional s Women of Influence in its most recent edition Although her colleagues at the IIAC are decidedly biased this is a highly fitting tribute to a woman who impresses us with her razor sharp intellect and interminable kindness every single day Joining Barb on this impressive list are two IIAC Board members Sandy Cimoroni and Charyl Galpin Congratulations on this well deserved accolade Read more about their contributions to Canada s investment industry here Tweet Tagged Barb Amsden Wealth Professional Women of Influence Confirmed A Lot of Very Wealthy People Live

    Original URL path: http://iiac.ca/wealth-professionals-women-of-influence-the-iiac-is-well-represented/ (2016-02-14)
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  • Wealth Professional | IIAC
    Small and Independent Dealers Symposium Cybersecurity Symposium Sponsorship Opportunities Hall of Fame Home Member Login Contact Us About the IIAC Who We Are Board of Directors President CEO Subject Matter Experts IIAC Committees Working Groups IIAC Member Firms IIAC Affiliates Industry Job Board Advocacy Submissions Letters Letter from the President Key Issues Successes Activity Updates Member Support Cybersecurity Resource Centre CRM2 Resource Centre Industry Data Publications Public Advisories Institutional Trade Matching Tools Member Benefits Member Kit Members Only Small Dealers Overview Ian Russell on SAID Advocacy SAID Successes Publications Industry Data Tools SAID Committee Meeting Minutes Centres of Higher Learning Media Coverage SAID Events Investors Newsroom Subject Matter Experts News Releases Op Eds The IIAC in the News Blog eNewsletter Speeches Upcoming Presentations Videos Canada s Investment Industry Faces Did You Know Logos Media Kit Social Media Policy Events Upcoming Events Webinars IIAC Investment Industry Hall of Fame IIAC Top Under 40 Award Take Our Kids to Work Day Compliance and Operations Symposium Small and Independent Dealers Symposium Cybersecurity Symposium Sponsorship Opportunities Hall of Fame Search Tag Archives Wealth Professional Wealth Professional s Women of Influence The IIAC is Well Represented Wealth Professional s Women of Influence The IIAC is Well Represented The IIAC s very own Barb Amsden has been named one of Wealth Professional s Women of Influence in its most recent edition Although her colleagues at the IIAC are decidedly biased this is a highly fitting tribute to a woman who impresses us with her razor sharp intellect and interminable kindness every single day Joining Barb on this impressive list are two IIAC Board members Sandy Cimoroni and Charyl Galpin Congratulations on this well deserved accolade Read more about their contributions to Canada s investment industry here Tagged Barb Amsden Wealth Professional Women of Influence Comments Off

    Original URL path: http://iiac.ca/tag/wealth-professional/ (2016-02-14)
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  • Women Of Influence | IIAC
    Small and Independent Dealers Symposium Cybersecurity Symposium Sponsorship Opportunities Hall of Fame Home Member Login Contact Us About the IIAC Who We Are Board of Directors President CEO Subject Matter Experts IIAC Committees Working Groups IIAC Member Firms IIAC Affiliates Industry Job Board Advocacy Submissions Letters Letter from the President Key Issues Successes Activity Updates Member Support Cybersecurity Resource Centre CRM2 Resource Centre Industry Data Publications Public Advisories Institutional Trade Matching Tools Member Benefits Member Kit Members Only Small Dealers Overview Ian Russell on SAID Advocacy SAID Successes Publications Industry Data Tools SAID Committee Meeting Minutes Centres of Higher Learning Media Coverage SAID Events Investors Newsroom Subject Matter Experts News Releases Op Eds The IIAC in the News Blog eNewsletter Speeches Upcoming Presentations Videos Canada s Investment Industry Faces Did You Know Logos Media Kit Social Media Policy Events Upcoming Events Webinars IIAC Investment Industry Hall of Fame IIAC Top Under 40 Award Take Our Kids to Work Day Compliance and Operations Symposium Small and Independent Dealers Symposium Cybersecurity Symposium Sponsorship Opportunities Hall of Fame Search Tag Archives Women of Influence Wealth Professional s Women of Influence The IIAC is Well Represented Wealth Professional s Women of Influence The IIAC is Well Represented The IIAC s very own Barb Amsden has been named one of Wealth Professional s Women of Influence in its most recent edition Although her colleagues at the IIAC are decidedly biased this is a highly fitting tribute to a woman who impresses us with her razor sharp intellect and interminable kindness every single day Joining Barb on this impressive list are two IIAC Board members Sandy Cimoroni and Charyl Galpin Congratulations on this well deserved accolade Read more about their contributions to Canada s investment industry here Tagged Barb Amsden Wealth Professional Women of Influence Comments

    Original URL path: http://iiac.ca/tag/women-of-influence/ (2016-02-14)
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  • IIROC receives approval to implement CRM2 | IIAC
    The IIAC in the News Blog eNewsletter Speeches Upcoming Presentations Videos Canada s Investment Industry Faces Did You Know Logos Media Kit Social Media Policy Events Upcoming Events Webinars IIAC Investment Industry Hall of Fame IIAC Top Under 40 Award Take Our Kids to Work Day Compliance and Operations Symposium Small and Independent Dealers Symposium Cybersecurity Symposium Sponsorship Opportunities Hall of Fame Search IIAC Blog May 29 2014 IIROC receives approval to implement CRM2 The Investment Industry Regulatory Organization of Canada IIROC has received approval from the Canadian Securities Administrators CSA to implement the next set of new Client Relationship Model CRM amendments that take effect July 15 2014 The approved changes relate to the first series of changes as part of CRM2 including New requirements that mandate pre trade disclosure of fees and charges associated with pending investment purchase and sale transactions Enhanced debt security trade confirmation disclosure of compensation taken by the dealer on the trade and A new relationship disclosure requirement that explains how benchmarks may be used by investors to assess the performance of their investments As part of the IIAC s efforts to ensure firms are ready or as ready as they can be several support tools have been developed The IIAC s first CRM2 newsletter CRM2 Countdown is available in an easy to read electronic format featuring links to the IIAC s members only website and in PDF format A printable version with all linked documents attached is also available on the IIAC s members only website IIAC members wishing to tailor any tools for internal purposes can obtain Word versions from Barb Amsden Model CRM2 Performance Benchmark Text for Stuffers PDF March 14 2014 CRM2 Reporting Toolkit PDF Feb 28 2014 CRM2 Disclosure Data Maps Compensation prototype and data map PDF Jan 12

    Original URL path: http://iiac.ca/iiroc-receives-approval-to-implement-crm2/ (2016-02-14)
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  • Industry Preparedness | IIAC
    Social Media Policy Events Upcoming Events Webinars IIAC Investment Industry Hall of Fame IIAC Top Under 40 Award Take Our Kids to Work Day Compliance and Operations Symposium Small and Independent Dealers Symposium Cybersecurity Symposium Sponsorship Opportunities Hall of Fame Home Member Login Contact Us About the IIAC Who We Are Board of Directors President CEO Subject Matter Experts IIAC Committees Working Groups IIAC Member Firms IIAC Affiliates Industry Job Board Advocacy Submissions Letters Letter from the President Key Issues Successes Activity Updates Member Support Cybersecurity Resource Centre CRM2 Resource Centre Industry Data Publications Public Advisories Institutional Trade Matching Tools Member Benefits Member Kit Members Only Small Dealers Overview Ian Russell on SAID Advocacy SAID Successes Publications Industry Data Tools SAID Committee Meeting Minutes Centres of Higher Learning Media Coverage SAID Events Investors Newsroom Subject Matter Experts News Releases Op Eds The IIAC in the News Blog eNewsletter Speeches Upcoming Presentations Videos Canada s Investment Industry Faces Did You Know Logos Media Kit Social Media Policy Events Upcoming Events Webinars IIAC Investment Industry Hall of Fame IIAC Top Under 40 Award Take Our Kids to Work Day Compliance and Operations Symposium Small and Independent Dealers Symposium Cybersecurity Symposium Sponsorship Opportunities Hall of Fame Search Tag Archives Industry preparedness IIROC receives approval to implement CRM2 IIROC receives approval to implement CRM2 The Investment Industry Regulatory Organization of Canada IIROC has received approval from the Canadian Securities Administrators CSA to implement the next set of new Client Relationship Model CRM amendments that take effect July 15 2014 The approved changes relate to the first series of changes as part of CRM2 including Tagged Barb Amsden CRM2 Industry preparedness Comments Off on IIROC receives approval to implement CRM2 Tag Cloud Ian Russell Industry info Events CRM2 Letter from the President Barb Amsden Video

    Original URL path: http://iiac.ca/tag/industry-preparedness/ (2016-02-14)
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  • The IIAC Launches CRM2 Newsletter | IIAC
    Work Day Compliance and Operations Symposium Small and Independent Dealers Symposium Cybersecurity Symposium Sponsorship Opportunities Hall of Fame Home Member Login Contact Us About the IIAC Who We Are Board of Directors President CEO Subject Matter Experts IIAC Committees Working Groups IIAC Member Firms IIAC Affiliates Industry Job Board Advocacy Submissions Letters Letter from the President Key Issues Successes Activity Updates Member Support Cybersecurity Resource Centre CRM2 Resource Centre Industry Data Publications Public Advisories Institutional Trade Matching Tools Member Benefits Member Kit Members Only Small Dealers Overview Ian Russell on SAID Advocacy SAID Successes Publications Industry Data Tools SAID Committee Meeting Minutes Centres of Higher Learning Media Coverage SAID Events Investors Newsroom Subject Matter Experts News Releases Op Eds The IIAC in the News Blog eNewsletter Speeches Upcoming Presentations Videos Canada s Investment Industry Faces Did You Know Logos Media Kit Social Media Policy Events Upcoming Events Webinars IIAC Investment Industry Hall of Fame IIAC Top Under 40 Award Take Our Kids to Work Day Compliance and Operations Symposium Small and Independent Dealers Symposium Cybersecurity Symposium Sponsorship Opportunities Hall of Fame Search IIAC Blog May 15 2014 The IIAC Launches CRM2 Newsletter With the successive CRM2 implementation requirements looming the IIAC has stepped up its efforts to provide a variety of tools for advisors and compliance staff keep members informed and respond to member concerns The IIAC s first CRM2 newsletter CRM2 Countdown is available in an easy to read electronic format featuring links to the IIAC s members only website and in PDF format A printable version with all linked documents attached is also available on the IIAC s members only website IIAC members wishing to tailor any tools for internal purposes can obtain Word versions from Barb Amsden Tweet Tagged Barb Amsden CRM2 IIAC Appears Before House of

    Original URL path: http://iiac.ca/the-iiac-launches-crm2-newsletter/ (2016-02-14)
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