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Canadian Securities Administrators (CSA) Releases Status Report on the Implementation of Point of Sale Disclosure for Mutual Funds

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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 U.S. SEC Delivers “Looking ahead and moving forward” Speech

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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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International Organization of Securities Commissions (IOSCO) releases its “Principles on Point of Sale Disclosure” consultation paper

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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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The Canadian Securities Administrators (CSA) releases its notice “Implementation of Point of Sale Disclosure for Mutual Funds”

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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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