Implementation of the current form of disclosure on trade confirmations has presented ongoing challenges for some firms
Cross-country presentations will focus on four key topics
Securities regulators have struggled mightily to improved point-of-sale disclosure for mutual funds
The goal is raise public awareness of the advantages of working with an IIROC-regulated firm and advisor
Banks expected to implement Basel remuneration disclosure requirements starting with the 2012 fiscal year-end
OSC fines firm, two execs for ABCP disclosure failings
Process will be extended to MRKPs, financial statements
The review is intended to examine how closely a fund’s stated investment objectives and strategies are implemented over time
Agents and insurers must disclosure how low rates are impacting the products clients buy
Some new online repositories are helping mutual fund companies and financial advisors deal with disclosure