Frequently Asked Questions

We have compiled a list of questions received by the Committee to date and have set out our responses to provide guidance to registrants as they prepare for the new requirements under the CFRs coming into effect on December 31, 2021 (KYC, KYP, suitability, RDI and all other reforms) – conflicts of interest requirements came into effect on June 30, 2021.

We will publish responses to additional questions submitted to the Committee during the phased transition period of the CFRs.