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IIROC's Client Relationship Model (CRM)




IIROC News Releases, notices and related documents


January 9, 2017
Decisions of the Board of Directors - Exemption applications concerning the implementation of requirements to annually report on account performance and fees/charges
Rules Notice Exemption

 


 

May 30, 2016
Client Relationship Model (“CRM”) - Frequently Asked Questions (Revised version)
IIROC Rules Notice

 


 

December 16, 2015
Client Relationship Model (CRM) Frequently Asked Questions (Revised version)
IIROC Rules Notice

 


 

December 8, 2015
Client Relationship Model – Phase 2 (CRM2) - Decisions of the Board of Directors - Exemption applications concerning new requirement to provide clients with a “Report on client positions held outside of the Dealer Member”
IIROC Rules Notice

 


 

June 11, 2015
Housekeeping changes to Dealer Member Rule 200 and changes to effective dates for amendments to Dealer Member Rule 200 and to Dealer Member Form 1 relating to the implementation of CRM2
IIROC Rules Notice, Approval/Implementation

 


 

February 9, 2015
Client Relationship Model (CRM) Frequently Asked Questions (Revised version)
IIROC Rules Notice

 


 

January 19, 2015
IIROC announces implementation of remaining Client Relationship Model (CRM2) reforms
IIROC News Release


Client Relationship Model - Phase Performance Reporting and Fee / Charge Disclosure amendments to Dealer Member Rule 200 and to Dealer Member Form 1
IIROC Rules Notice, Approval/Implementation

 


 

October 16, 2014
Client Relationship Model (CRM) Frequently Asked Questions
IIROC Rules Notice

 


 

September 18, 2014
IIROC republishes remaining Client Relationship Model reforms
IIROC News Release

Client Relationship Model – Phase 2 – Performance reporting and fee / charge disclosure amendments
IIROC Rules Notice

 


 

May 29, 2014
IIROC continues implementation of Client Relationship Model reforms to enhance investor protection
IIROC News Release


Client Relationship Model, Phase 2—PerformanceReporting and Fee / Charge Disclosure
IIROC rules Notice, Approval/Implementation

 


 

December 12, 2013
Strengthening the advisor-client relationship— Final set of Client Relationship Model (CRM2) Reforms
IIROC News Release
 

Client Relationship Model, Phase 2—Performance Reporting and Fee / Charge Disclosure
IIROC Rules Notice/Request for Comments

 


 

March 26, 2012
IIROC begins implementation of Client Relationship Model reforms to enhance investor protection
IIROC News Release


Client Relationship Model – Implementation
IIROC Rules Notice


IIROC response to comments on Client Relationship Model Rules and amendments to IIROC Dealer Member Rules 200 and 1300
(Appendix)

Client Relationship Model – Guidance
IIROC Rules Notice

Know your client and suitability – Guidance
IIROC Rules Notice

 


 

January 7, 2011
Notice: Proposals to implement the core principles of the Client Relationship Model
Request for Comments – Republication

 


 

April 24, 2009
Client Relationship Model
IIROC Rules Notice, Request for Comments

 


 


Links to other resources of interest

 

 

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