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Client Focused Reforms – Frequently Asked Questions

The Canadian Securities Administrators as well as the Canadian Investment Regulatory Organization (formerly known as the Investment Industry Regulatory Organization of Canada and the Mutual Fund Dealers Association of Canada) have established the Client Focused Reforms Implementation Committee to consider operational challenges industry stakeholders are facing and how to respond to them to ensure implementation per the phased transition periods.

To this end, the CSA has compiled a list of implementation questions received to date and have set out our responses to provide guidance to registrants. 

More information about the frequently asked questions and related policy can be found in: