Client-advisor relationship has become a key area of focus for regulators around the world, IIROC head says
The Office of the Superintendent of Financial Institutions has issued a draft guideline setting out disclosure obligations for defined contribution pension plans.In a letter sent Friday to DC plan administrators, OSFI said that the guideline is intended to inform the pension industry “of the general principles as well as more detailed requirements” that OSFI will […]
Number of continuous disclosure reviews up 28% in 2009
BetaPro report aims to eliminate confusion over leveraged ETFs
Guide identifies filing fees in all Canadian jurisdictions
Insurance regulators take “access equals delivery” approach
Consultation paper outlines proposed disclosure principles
Regulator says company failed to meet disclosure requirements regarding risks related to seg funds
New rule would require dealers to deliver a basic "fund facts" document at, or before, clients buy a new fund
New prospectus puts disclosure front and centre, says BetaPro’s Atkinson