We are pleased to announce the release of an updated version of Investia’s Compliance Policies & Procedures Manual (CPPM”), reflective of policy changes and enhancements arising from internal, and regulatory developments made over the past year.   

You will notice two key changes throughout the manual related to the new Self-Regulatory Organization, Canadian Investment Regulatory Organization (CIRO):

1. References to the Mutual Fund Dealers Association (MFDA) have been replaced with Canadian Investment Regulatory Organization (CIRO).
   
   
2. Former MFDA rules are now presented as CIRO Mutual Fund Dealer Rules (MFD rules).  Additionally, policies that previously had single-digit numbers have been expanded to three-digit numbers (e.g.  “MFDA Policy No. 2” is now “MFD Rule 200”).
   
   

Click here to view this new edition of the CPPM, which is currently available on the Advisor Centre under the Guides & Training / Compliance section. This version will replace any former versions of the CPPM. For ease of reference, below is a list of high-level material changes made to the CPPM:



 
Should you have any questions or require additional information, please do not hesitate to contact your Compliance Officer.