Fewer reviews completed in fiscal 2012 as regulators increased the number of full reviews
Credit Suisse sales exec signaled confidential information to a fund manager
Proposed changes, including changes to risk disclosure, will be published for comment in the spring or summer
The new Fund Facts document is a major step forward; it should be tested and reviewed before further changes are made
Clients like the uniform presentation of information on the forms between fund companies
Association helping firms prepare for Client Relationship Model, Fund Facts delivery
Implementation of the current form of disclosure on trade confirmations has presented ongoing challenges for some firms
Cross-country presentations will focus on four key topics
Securities regulators have struggled mightily to improved point-of-sale disclosure for mutual funds
The goal is raise public awareness of the advantages of working with an IIROC-regulated firm and advisor