THE 360 NEWSLETTER
Updated Compliance Policies & Procedures Manual (“CPPM”) – June 2022 Version
Compliance June 16, 2022We 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, regulatory and harmonization developments made over the past year.
This new edition of the CPPM will be uploaded onto the Investia Advisor Centre on Monday, June 20 under the Guides & Training / Compliance section and will replace any former versions.
For ease of reference, the list of material changes in the CPPM are outlined in the table below:
Section |
Description of Change |
Chapter 1: Section II, D) |
|
Chapter 2: Section I, D) |
|
Chapter 2: Section I, F) |
|
Chapter 2: Section II, F) |
|
Chapter 2: Section III, A) |
|
Chapter 3: Section I |
|
Chapter 4: Section I, A) |
|
Chapter 4: Section I, K) |
|
Chapter 4: Section II, B) |
|
Chapter 4: Section IV, F) |
|
Chapter 4: Section IV, G) |
|
Chapter 4: Section IV, H) |
|
Chapter 5 |
|
Chapter 6: Section I, F) |
|
Chapter 7: Section I |
|
Chapter 8: Section II and III |
|
Chapter 9: Section I |
|
Chapter 10: Section I |
|
Chapter 10: Section II |
|
Chapter 10: Section V |
|
Chapter 10: Section X |
|
Chapter 12: Section II, C) |
|
Should you have any further questions or require additional clarification, please feel free to contact your Compliance Officer.
Also in this issue
- 2022 National Business Conference – Save the Dates
- Final Reminder – Client Fee – Deadline for Payment Option Selection (June 16)
- Reminder – 2022 Administrative Fee Reminder – Investia Nominee Accounts
- New Training Video on Commission Reports
- Update of Transfer Fee Reimbursement Procedure and Form and New FAQ
- Reminder – System Maintenance – Univeris, Investia Advisor Centre, Client Portal and Mobile App Downtime
- Form Review – Individual Interviews with Representatives
- Mandatory Fields – Updating KYCs for Existing Clients with Missing Information
- Tip # 5 – What Are Good Practices with my Passwords?
- Monthly Market Snapshot – June 2022