Point of sale disclosure for mutual funds is coming in May 2016. In this three-part video series lawyer Rebecca Cowdery reviews the requirements, practical tips for online and telephone sales, and what’s next for disclosure and exchange-traded funds.
August 10, 2015In part three of this three-part series, Rebecca Cowdery, partner with Borden Ladner Gervais LLP in Toronto, explains proposed amendments that would require exchange-traded funds (ETFs) to provide investors with a summary disclosure document called “ETF Facts”.
In part two of this three-part series, Rebecca Cowdery, partner with Borden Ladner Gervais LLP in Toronto, discusses Fund Facts requirements for mutual fund sales initiated online or by phone.
Rebecca Cowdery, a partner with Borden Ladner Gervais LLP in Toronto, discusses the mutual fund point of sale (POS) delivery project, and explains how advisors can use the Fund Facts document to meet their obligations under CRM2.
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