Tag: Delivery

Are you Ready for POS3?

Effective today, May 30, 2016, Point of Sale 3 regulation comes into effect.  This means that advisors and dealers that are selling a mutual fund must provide Fund Facts disclosure […]

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It’s Not Too Late to Comply

A February MFDA review of the industry’s readiness for POS3 and CRM2 provided mixed results – while some dealers are ahead of the curve, the review “found incidents of both […]

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E-Delivery: Paperless or Less Paper?

Rarely does a week pass without a new article or whitepaper arguing the virtues of moving from printed communications to electronic communications.  And most recently, we have heard a lot […]

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Advisor showing TD Fund Facts Delivery

Marketing vs. Regulatory Disclosure

I recently attended a conference entitled “Does Disclosure Work?” hosted by the Capital Markets Institute and the Canadian Foundation for Advancement of Investor Rights (a.k.a. FAIR Canada) at the University […]

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