Updated Compliance Policies and Procedures Manual (CPPM) – February 2025

Written by Investia | February 13, 2025 4:45:00 Z PM

Investia’s Compliance Policies & Procedures Manual (“CPPM”) has been updated to reflect recent policy changes and enhancements arising from internal and regulatory developments.

For ease of reference, below is a list of high-level material changes made to the CPPM:

Section	Action
Chapter 4: Section IV. B – Electronic Signature	Update to section
Chapter 4: Section VII. Trusted Contact Person	Update to section
Chapter 6: Section I. F – Exchange Traded Funds (“ETF”)	Update to section
Chapter 6: Section III. J – United States Residents	Update to section to specify that “If the client holds an open/non-registered account, including TFSAs, FHSAs and RESPs, the account must be transferred to an institution that can service their financial needs or be liquidated”. Update to section to include transaction requirements for snowbird clients.
Chapter 9: Section IV. Client Access and VIII. Additional Complaint Handling Requirements	The MFDA Client Complaint Information Form (CCIF) has been replaced with the CIRO Complaints Brochure.

Click here to view this new edition of the CPPM, which is currently available on the Advisor Centre under Guides & Training / Compliance. This version will replace any former versions of the CPPM.

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

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