Policies & Procedures Manual
Now, more than ever, it’s important to stay on top of client suitability, fraud prevention, and compliance with industry legislation and regulations. We’ve faced a lot of changes this year from both FSRA and the Ministry of Finance. CMBA Ontario can help!
The updated CMBA Policies & Procedures Manual has been designed to provide brokerages with the basic requirements for a policy and procedure manual. The manual includes Form Templates that are designed to assist in the day-to-day operations of the Brokerage. We’ve also included guidelines regarding client suitability, employee relations, and fraud awareness and prevention which may help protect your Brokerage from financial or corporate abuse.
DON’T DELAY – purchase a copy for your brokerage today! Manuals are customized with the Brokerage’s name, licence number and logo – making it truly yours. The final document is provided electronically in PDF format.
Due to high demand we require 5-7 business days to produce the manual.
Please contact firstname.lastname@example.org for rush order requests and updates.
NOTE: If your manual is a few years old, or hasn’t been reviewed this past year, FSRA will not find that acceptable*. It is mandatory for a brokerage to have and implement an up-to-date Policies & Procedures manual (see Ont. Regulation 410/07 s.3). While the CMBA Ontario P&P covers the basics, brokerages should update their manual regularly and ensure that its contents meet their specific needs and practices. Your AIR also specifically asks if you reviewed your P&P during the reporting period and you have to identify when they were last updated. Let us take that worry off your shoulders.
If your manual is less than 1 year old, updates made within the year can be requested at no charge.
If your manual is between 1 and 2 years old ( from date of purchase), you are entitled to a Purchase upgrade of $50+HST for members, $100+HST for non-members.
If your manual is older than 2 years, you will need to purchase a new manual to receive any updates.
Please click on the button below to get the fillable PDF order form for your new 2023 manual. Your company logo may be sent to us at email@example.com for inclusion on your manual. You will receive revisions or deletions to your manual if and when regulatory changes occur.