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Although new delivery requirements for Fund Facts kick in this month, looming reforms to a key component of the disclosure document remain a work in progress

Advisors must understand what “delivery” means — including the exceptions — to ensure they’re prepared to meet the new requirements

Some insurance products and ETFs are in regulators’ sights

CI makes portfolio management changes

Advisors who sell mutual funds face new risk and cost disclosure rules. Learn what you need to know to build client trust — and what to avoid. Register and earn CE credits.

The move to pre-trade delivery of Fund Facts is set for May 30

The recommendation for both mutual funds and ETFs largely follows the approach that’s already widely in use

Advisors selling mutual funds must soon take clients through "Fund Facts"

  • By: IE Staff
  • September 17, 2015 November 9, 2019
  • 23:00

It’s becoming more important for advisors to leverage technology to maintain an audit trail showing compliance that you’re doing the right thing

Fund Facts just doesn't do the job

Point of sale: Requirements and exceptions for online and phone sales

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.