With the February 23, 2011 release of staff notice 81-321 by the Canadian Securities Administrators – EARLY USE OF FUND FACTS TO SATISFY PROSPECTUS DELIVERY REQUIREMENTS, fund companies and dealers are now able to deliver a Fund Fact document with a mutual fund trade confirmation, eliminating the requirement to mail the larger prospectus package. View […]
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InvestorPOS™ is pleased to announce that one of Canada’s Schedule I banks has entered into an agreement with InvestorPOS™ to produce “Fund Facts” documents for each of its Guaranteed Investment Funds (GIF) segregated funds products. The Canadian Securities Administrators (CSA) has assigned a January 1, 2011 compliance date for segregated funds manufacturers to produce Fund […]
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We, the Canadian Securities Administrators (the CSA or we), are making amendments to National Instrument 81-101 Mutual Fund Prospectus Disclosure (the Rule), Forms 81-101F1 Contents of Simplified Prospectus and 81-101F2 Contents of Annual Information Form (the Forms), and Companion Policy 81-101CP Mutual Fund Prospectus Disclosure (the Companion Policy). New Form 81-101F3 Contents of Fund Facts […]
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The Canadian Securities Administrators (CSA) today published amendments to National Instrument 81-101 Mutual Fund Prospectus Disclosure which among other things, provided a deadline of January 1, 2011 for fund companies to begin making a new document, called the “Fund Facts”, available for investors. Effective January 1, 2011, mutual fund companies will be required to produce […]
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The Canadian Securities Administrators (CSA) today released its “Status Report on the Implementation of Point of Sale Disclosure for Mutual Funds” and in it outlined its staged approach to POS implementation. Point of Sale regulation has long been the CSA‟s key initiative for retail investor protection, in which investors would receive important information about a […]
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Chairman Mary L. Schapiro U.S. Securities and Exchange Commission SEC Speaks Washington, D.C. February 5, 2010 Thank you for that kind introduction. I would like to ask all of the current SEC staff in the audience to stand so we can recognize your service and thank you for your extraordinary contributions over the past year. […]
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The International Organization of Securities Commissions Technical Committee’s (TC) Standing Committee on the Regulation of Market Intermediaries (TCSC3) and its Standing Committee on Investment Management (TCSC5) (collectively: the Joint Group) have published for public consultation this Consultation Report on Principles on Point of Sale Disclosure. The Consultation Report sets out a set of principles that […]
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We, the members of the Canadian Securities Administrators (the CSA), are publishing for a comment period of 120 days proposed amendments to National Instrument 81-101 Mutual Fund Prospectus Disclosure (the Proposed Rule), Forms 81-101F1 Contents of Simplified Prospectus and 81-101F2 Contents of Annual Information Form and Companion Policy 81-101CP Mutual Fund Prospectus Disclosure (the Companion […]
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