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.
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
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