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"
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
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