InvestorCOM Summary of the CSA’s Final Amendments to ETF Facts Document and Delivery Requirements (NI 41-101)
On December 8, 2016 and on the heels of the May 30, 2016 Point of Sale stage 3 (POS 3) deadline requiring pre-sale delivery of Fund Facts to investors and the implementation of CRM2 obligations to deliver performance and fee reports, the CSA released the final amendments to the ETF Facts document template and delivery requirements. Here is our Executive Summary of the final ETF regulation.
InvestorPOS advisor survey on Fund Facts
We surveyed 1,000 advisors on their use of the InvestorPOS repository and their clients’ perception of the Fund Facts document. This is what they said.
InvestorPOS Fund Facts delivery:
strategies for success
In this paper we define the best practices for companies seeking to migrate from print/mail to e-delivery and other ways to take advantage of the Point Of Sale regulation for Fund Facts delivery.