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IIROC Dealer-Member Rules, Proposals to Implement the Core Principles of the CRM
Letter Summary:
The Canadian Advocacy Council of the CFA Institute Societies of Canada (the CAC) appreciates the opportunity to comment to the Investment Industry Regulatory Organization of Canada (IIROC) on the proposed Rules and amendments to the Dealer Member Rules to establish substantive requirements developed under the Client Relationship Model (CRM) Project.
Overview of the Council’s Comments:
The CFA Institute Financial Market Integrity Outlook Survey was conducted in January of 2011 to seek input from CFA Institute embers around the world on the outlook for ethical markets in 2011. This survey helps the CFA Institute assess the ethical framework of our profession and note any ethical “hot spot” facing the financial services industry.