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Keyword: Mutual fund regulations

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rules and regulations written on folder

The SEC seeks comment on rules that aim to prevent investor deception

stock exchange

The industry group is calling on regulators to develop a proficiency regime for fund reps

The new guidance takes effect Sept. 30

Close up of an executive hands holding a pen and indicating where to sign a contract at office

“We’ve got to keep the standards high,” says PMAC president

businessman showing where to sign agreement law contract pen

Compliance exams uncover an inappropriate one-size-fits-all approach

business people standing in line under a magnifying glass

Regulators need to introduce systemic changes that will control the growth of regulation, improve regulatory efficiency and reduce the regulatory burden

A review led by OSC and AMF staff is being conducted this year with a target for mid-2018 for proposed rule amendments and comments

IOSCO report examines examines investment fund liquidity management tools in 26 jurisdictions around the world

Comments sought from industry

The provincial regulator also wants to explore whether fund prospectuses provide sufficient clarity on different fund classes