THE 360 NEWSLETTER

We would like to inform you that the Investia Relationship Disclosure Information Document (“RDID”) has been recently reviewed and amended.

Below are the key reasons for the changes:

• To add new sections to address Client Focused Reform (“CFR”) obligations in compliance with MFDA Rule 2.2.7 (new sections on trusted contact persons, temporary holds, as well as other minor revisions to product disclosure);
• To address regulatory requirements regarding KYC terminology, an updated Investia Conflict of Interest (“COI”) Policy, client fee disclosure, cost and compensation disclosure, as well as reporting and frequency of reporting); and
• To address industry and legislative changes (introduction of the new self-regulatory organization (“SRO”) and changes to privacy legislation).

As a reminder, it is mandatory to provide new clients with a copy of the RDID upon account opening. For existing clients, please notify them of the changes made to the RDID at your next client meeting.

The amended RDID at the bottom of the Investia corporate website:

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