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The long-awaited (since March 2013) modernization of National Instrument 81-102 in January this year allowed IIROC dealers to distribute Alternative strategy funds to their ‘true retail’ clients. The funds are limited in their use of leverage and shorting, but can do a great deal more than mutual funds until the new rules were promulgated.

This panel and reception will give Mutual Fund Dealers and their compliance, product, and sales people an overview of the rules, how they are being implemented in the IIROC channel, the use of risk ratings, and where alternative strategies might fit in client portfolios.