Association helping firms prepare for Client Relationship Model, Fund Facts delivery
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