This week’s IE article on CRM2 fostering stronger client relationships is a rare and welcome view on the regulation. Now that CRM2 is a reality, why not make the fee disclosure conversation a positive one with your clients? The article encourages the use of technology to share valuable information with your clients and we couldn’t agree […]
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The Canadian investment community awaits the CSA’s final Stage 3 rules for National Instrument 81-101 which are due to be published in the next 4 weeks. This will establish the specific guidelines with respect to pre-trade delivery of the Fund Facts document and with that, the CSA has recently launched an interactive sample of a […]
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Sending material to clients before they make a decision could help improve disclosure to retail investors, but may complicate advisors’ marketing efforts Financial advisors spend much of their time in meetings, emailing, or on the phone in order to serve existing clients and attract new prospects. Many of these marketing communications are informal and […]
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Some financial services organizations perceive inherent risks associated with the cloud, but the temptation to avoid this evolving frontier will be done at their peril The recent breach of Apple Inc.’s iCloud service, in which compromising photos of celebrities were pulled from iCloud and posted on the web, has reignited the debate concerning our growing […]
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Within the details of the order a new feature has been added that allows you to copy the Fund Facts that were sent from a previous order. When selecting the “Copy Order” button the Fund Facts that were included in this order are automatically added to the user’s cart. The user simply needs to enter […]
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InvestorPOS is pleased to announce the release of version 3.0 of our Fund Facts delivery platform. InvestorPOS now offers full support for CRM2 fee disclosure to meet the CSA deadline of July 15, 2014. CSA’s amendment to National Instrument 31-103 now requires advisors to provide oral or written pre-trade disclosure of all charges paid by […]
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InvestorPOS is pleased to announce the release of version 3.0 of our Fund Facts delivery platform. InvestorPOS now offers full support for CRM2 fee disclosure to meet the CSA deadline of July 15, 2014. CSA’s amendment to National Instrument 31-103 now requires advisors to provide oral or written pre-trade disclosure of all charges paid by […]
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Advisors cannot hope to remain compliant without the strategic use of technology There are some troubling signs that financial advisors in Canada are unaware of some of the major regulatory changes taking place that will affect their businesses. Worse still, it appears that fewer are taking any measures or employing the necessary technology to deal […]
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At the time an order has been placed the user has the ability to select the ‘CRM2 Fee Disclosure Completed’ as well as add notes that apply to the order(s) that have been placed. This information is captured at the order level and can be accessed via the “Compliance Reporting” section of the site. View […]
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InvestorPOS is pleased to provide our comments to the Canadian Security Administrators’ (CSA) second publication of proposed amendments for the Implementation of Stage 3 of Point of Sale Disclosure for Mutual Funds: Proposed Amendments to National Instrument 81-101 Mutual Fund Prospectus Disclosure and Companion Policy 81-101CP to National Instrument 81-101, published on View Full PDF
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