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Build point of sale into your practice

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.

OSC report outlines priorities for investment funds and structured products branch

There are “divergent views” on many aspects of a proposed standardized risk classification methodology

The requirement for pre-sale delivery of disclosure documents to mutual fund investors takes effect on May 30, 2016

The CSA is also sending out investor education tweets during Financial Literacy Month

  • By: IE Staff
  • November 4, 2014 December 19, 2017
  • 12:40

Confirmation of receipt made easier for clients

The Ontario Securities Commission's IAP and FAIR Canada say that it's been a bad year for investor protection in Ontario

Disclosure document will be delivered to mutual fund investors within two days of their purchase

IAP says proposal lines up with disclosures that will be required under phase two of the Client Relationship Model reforms

Draft rules require firms to provide a mandatory Key Information Document