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Upcoming Events

Automating and Standardizing Risk Ratings for CRM Enhanced Suitability Requirements

IIAC Member Only Event

Date: Tuesday, February 28th, 2012

Time: 2:30p.m. to 3:00 p.m. (EST) Registration, Networking and Refreshments. 3:00p.m. (EST) Seminar


Preparing for Enhanced Suitability Requirements

An automated approach and standardized risk ratings are not expected to be mandated for meeting the CRM’s enhanced suitability requirements. For firms with large client bases and for other firms looking for a systems-based solution, there are challenges and opportunities to automation and standardization. Join an interactive roundtable of interested members, with context provided by IIROC’s Richard Corner.


The presentation and roundtable will include:

  • CRM enhanced suitability requirements and timelines
  • Speaker: Richard J. Corner, Vice-President, Member Regulation Policy, Investment Industry Regulatory Organization of Canada

  • The prospect of moving to an automated approach
  • Speaker: TBD

  • Roundtable (part 1): Value of industry standards for assigning risk ratings to securities
  • Lead: Sandy Martin, CCO and Senior Vice-President of Compliance, Raymond James Ltd.

  • Roundtable (part 2): Methodologies for assigning risk ratings to securities
  • Lead: Kim Maggiacomo, President and Founder of Compliance Alliance Inc.


    Location: Fasken Martineau DuMoulin LLP
    333 Bay Street, Suite 2400, Adelaide Centre, Toronto, Ontario

    Fee: $65 for IIAC members. For IIAC members outside of Toronto, we invite you to attend by phone. Dial in service: $40 (IIAC members only). Call details via registration.

    This seminar may be eligible for CE credits.

    To register, please click here.

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    Investing Today

    Investing Today is the name of an 8 page section developed by IIAC and appearing on the first Monday of every month in the National Post.

    Each issue explores one theme as it relates to three different kinds of investors: novice, intermediate and advanced.

    Investing Today

    January 9, 2012
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    Investing Today



    What kind of investor are you?


    Novice | Intermediate | Advanced