81-406 - Point of sale disclosure for mutual funds and segregated funds [NI Proposed Framework - Lapsed]
| Published Date: | 2007-06-15 |
|---|---|
| Document(s): |
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CONTENTS
Introduction 1
Background 3
2003 consultation paper 3
Comments on the 2003 consultation paper 3
What we said we would do 4
What we have done 4
Fund Facts 6
Investor research 6
Plain language approach 6
Content 7
Document testing 8
Delivering the Fund Facts 9
Time of delivery 9
Methods of delivery 10
Investor rights 12
Cooling-off right 12
Right for misrepresentation 12
If the Fund Facts is not delivered 13
Regulatory requirements 14
Preparing the Fund Facts 14
Filing and review 15
Meeting the delivery requirement 16
Providing other materials at point of sale 17
Next steps 18
How to send us your comments 18
For more information 18
Appendix 1: Fund Facts for mutual funds .23
Appendix 2: Fund Facts for segregated funds 27
Appendix 3: Key Facts for segregated funds 31
Appendix 4: Investor research and other sources 125
Appendix 5: Research Strategy Group Fund Facts Document Research Report 129