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  • CRM 2: IIAC is leading efforts to ensure firms are ready – or as ready as they can be | IIAC
    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 April 28 2014 CRM 2 IIAC is leading efforts to ensure firms are ready or as ready as they can be This according to Investment Executive s James Langton The Investment Industry Association of Canada IIAC is leading the way with a series of committees that it has launched to grapple with the array of details that need to be sorted out in order for investment dealers to comply with the CRM 2 requirements The overriding implementation issue remains the question of whether the CSA will exempt IIROC dealers from needing to comply with both versions of these requirement the provincial commissions version and IIROC s version All along firms have been expecting that will be the case but they have yet to receive a guarantee without which the IIAC warns firms will be reluctant to expend the time and money required to implement the systems and processes needed to support the new disclosure obligations for fear that the investment could be wasted The IIAC s comment letter to IIROC in February included a plea to the regulators for greater certainty and the association reiterates this concern in its most recent submission In this latest letter the IIAC asked for both a meeting with the CSA and IIROC in early May to confirm that

    Original URL path: http://iiac.ca/crm-2-iiac-is-leading-efforts-to-ensure-firms-are-ready-or-as-ready-as-they-can-be/ (2016-02-14)
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  • CRM 2 | IIAC
    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 CRM 2 CRM 2 IIAC is leading efforts to ensure firms are ready or as ready as they can be CRM 2 IIAC is leading efforts to ensure firms are ready or as ready as they can be This according to Investment Executive s James Langton The Investment Industry Association of Canada IIAC is leading the way with a series of committees that it has launched to grapple with the array of details that need to be sorted out in order for investment dealers to comply with the CRM 2 requirements The overriding implementation issue remains the question of whether the CSA will exempt IIROC dealers from needing to comply with both versions of these requirement the provincial commissions version and IIROC s version All along firms have been expecting that will be the case but they have yet Continue reading Tagged Barb Amsden CRM 2 Comments Off on CRM 2 IIAC is leading efforts to ensure firms are ready or as ready as they can be Ian Russell Letter from the President Volume 72 Ian Russell Letter from the President Volume 72 The latest installment of Ian Russell s Letter from the President entitled Taking on the Challenge of Implementing

    Original URL path: http://iiac.ca/tag/crm-2/ (2016-02-14)
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  • B.C. Wills, Estates and Succession Act | IIAC
    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 31 2014 B C Wills Estates and Succession Act The IIAC has requested that the B C government defer the enforcing of irrevocable beneficiary provisions sections 87 and 88 of the British Columbia Wills Estates and Succession Act as they apply to registered retirement savings plans tax free savings accounts and other registered plans The government s efforts were to establish consistency across insurance and other products and to simplify estate planning however given differences between pure insurance and registered plans the IIAC argued that the well intentioned changes would leave planholders or beneficiaries in many cases worse off The IIAC has asked for further discussion of this matter that affects other non insurance financial institutions in the province as well For more information please contact Barb Amsden Tweet Tagged B C Wills

    Original URL path: http://iiac.ca/b-c-wills-estates-and-succession-act/ (2016-02-14)
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  • B.C. Wills And Estates | IIAC
    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 B C Wills and Estates B C Wills Estates and Succession Act B C Wills Estates and Succession Act The IIAC has requested that the B C government defer the enforcing of irrevocable beneficiary provisions sections 87 and 88 of the British Columbia Wills Estates and Succession Act as they apply to registered retirement savings plans tax free savings accounts and other registered plans The government s efforts were to establish consistency across insurance and other products and to simplify estate planning however given differences between pure insurance and registered plans the IIAC argued that the well intentioned changes would leave planholders or beneficiaries in many cases worse off The IIAC has asked for further discussion of this matter that Continue reading Tagged B C Wills

    Original URL path: http://iiac.ca/tag/b-c-wills-and-estates/ (2016-02-14)
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  • Beneficiary Provisions | IIAC
    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 Beneficiary provisions B C Wills Estates and Succession Act B C Wills Estates and Succession Act The IIAC has requested that the B C government defer the enforcing of irrevocable beneficiary provisions sections 87 and 88 of the British Columbia Wills Estates and Succession Act as they apply to registered retirement savings plans tax free savings accounts and other registered plans The government s efforts were to establish consistency across insurance and other products and to simplify estate planning however given differences between pure insurance and registered plans the IIAC argued that the well intentioned changes would leave planholders or beneficiaries in many cases worse off The IIAC has asked for further discussion of this matter that Continue reading Tagged B C Wills and

    Original URL path: http://iiac.ca/tag/beneficiary-provisions/ (2016-02-14)
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  • IIAC’s Response to Proposed Guidance on Marketplace Thresholds (IIAC Blog) | IIAC
    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 14 2015 IIAC s Response to Proposed Guidance on Marketplace Thresholds IIAC Blog The IIAC has submitted comments to the Investment Industry Regulatory Organization of Canada IIROC on the proposed guidance requiring Canadian exchanges and alternative trading systems to establish specific price thresholds that when breached would trigger a halt in trading in the event a particular stock experiences rapid and unexplained price movement over a short period of time The IIAC generally supports the principles of the guidance but voiced significant concern with the requirement that dealers tailor their individual order flow so as to avoid exceeding the marketplace threshold for a particular security In our view adding dealer thresholds creates redundancy The proposed approach is unnecessarily complex would result in inconsistent practices among dealers in setting triggers for thresholds could prejudice certain investors whose orders may have to be held back and could potentially be a very costly proposition as new and more elaborate technology will be required to

    Original URL path: http://iiac.ca/iiacs-response-to-proposed-guidance-on-marketplace-thresholds-iiac-blog/ (2016-02-14)
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  • Securities Trading | IIAC
    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 Securities trading IIAC s Response to Proposed Guidance on Marketplace Thresholds IIAC Blog IIAC s Response to Proposed Guidance on Marketplace Thresholds IIAC Blog The IIAC has submitted comments to the Investment Industry Regulatory Organization of Canada IIROC on the proposed guidance requiring Canadian exchanges and alternative trading systems to establish specific price thresholds that when breached would trigger a halt in trading in the event a particular stock experiences rapid and unexplained price movement over a short period of time The IIAC generally supports the principles of the guidance but voiced significant concern with the requirement that dealers tailor their individual order flow so as to avoid exceeding the marketplace threshold for a particular security In our view Continue reading Tagged Securities regulation Securities trading

    Original URL path: http://iiac.ca/tag/securities-trading/ (2016-02-14)
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  • IIAC Seeks Member Firm Volunteers for Cyber Security Working Group | IIAC
    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 November 25 2014 IIAC Seeks Member Firm Volunteers for Cyber Security Working Group The issue of cyber security is front and centre as a major concern for Canada s investment industry Given the value and the sensitivity of data held by firms the investment industry is a prime target of cyber criminals IIAC member firms level of cyber security and preparedness for an incident varies widely With the interconnectedness of the systems and common service providers this leaves the industry exposed for an incident that could have a significant impact on firms clients and the industry reputation Recognizing the individual approach that has been taken by firms and that not all firms possess the resources to develop a robust cyber security program the IIAC is initiating a project to assist members in the development of industry wide cyber security plans and processes Under the leadership of IIAC managing director Susan Copland we will be working with industry experts covering different elements of cyber security including firm level security insurance forensic firms and other relevant entities As a first step a working group comprised of a cross section of member firms to identify member needs and the scope of the project is being formed This group will meet with relevant experts to

    Original URL path: http://iiac.ca/iiac-seeks-member-firm-volunteers-for-cyber-security-working-group/ (2016-02-14)
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