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The Voice of Canada’s Investment Funds Industry

CRM Tools and Tips

These materials will help advisors build their knowledge and talk to their clients about the changes arising from CRM2. Many of these items were developed through wide collaboration with industry members and consultation with other stakeholders.

The list includes issues of IFIC’s advisor-focussed information bulletin, Advisor Insights. The material in Advisor Insights uses plain language to make it easier for your clients to understand their new reports and to ask meaningful questions.



Documents

2016
CRM2 Spotlight: Considerations for Dealers

This bulletin outlines direction provided by the Canadian Securities Administrators (CSA) and the Mutual Fund Dealers Association (MFDA ) to assist dealers in meeting various requirements of CRM2. It focuses on three areas: the application of CRM2 to investments that are not securities, such as segregated fund contracts, annuities and GICs; transfer payments from affiliates; and referral fees.


2015
Dealer Checklist: CRM2 – 2015 Requirements (updated November 2015)

Outlines new information that dealers must include on clients’ account statements as of December 31, 2015, and provides insights and practical information to help dealers meet these requirement.


Advisor Insights – CRM2 Myths and Facts

This fact sheet focuses on frequent factual errors observed in media coverage about the timing and content of CRM2 reporting requirements. It has been prepared to provide advisors with accurate information about key aspects of CRM2. The same information has been provided to journalists in an effort to improve the accuracy of media coverage.


Backgrounder: CRM2 Myths and Facts

Model Report on Investment Performance: CRM2 – 2016 Requirement (April 13, 2015)

The raw template prepared by the regulators has been enhanced with simplified language, and easy-to-follow layouts to improve investor understanding. Dealers can meet the requirements of CRM2 by providing separate reports or by integrating the information into their quarterly account statements once per year. The Model Report on Investment Performance was reviewed by staff at the Mutual Fund Dealers Association and their comments were incorporated. See IFIC’s guide “Preparing CRM2 Reports for Your Clients” for insights on preparing these reports.


Model Report on Charges and Compensation: CRM2 - 2016 Requirement (June 17, 2016)

The raw template prepared by the regulators has been enhanced with simplified language and easy-to-follow layouts to improve investor understanding. Dealers can meet the requirements of CRM2 by providing separate reports or by integrating the information into their quarterly account statements once per year. The Model Report on Charges and Compensation was reviewed by staff at the Mutual Fund Dealers Association and their comments were incorporated. See IFIC’s guide “Preparing CRM2 Reports for Your Clients” for insights on preparing these reports.


2014
Communicating CRM - a New Era in Investor Information - The Evolution of Mutual Funds

Advisor Insights – Pre-Trade Disclosure (IFIC) – IFIC-branded

Outline of requirement of new rule to help companies meet July 15, 2014 requirement to provide investors with pre-trade disclosure.


2011
CSA Notice RFC31-103 CRM2 (June 15, 2011)

CSA Proposed Amendments to NI 31-103 CRM2 Appendix A (June 15, 2011)