Advocis comments on regulatory issues

By Staff | September 25, 2012 | Last updated on September 25, 2012
1 min read

Advocis has made regulatory submissions on PRPP regulation, mutual fund prospectus disclosure, and registration requirements and exemptions.

PRPP Regulation

Advocis has commented on proposed PRPP regulation on licensing, permitted investments, investment choices, permitted inducements, cost, contribution rate and disclosure requirements.

Mutual Fund Prospectus Disclosure

Comments made to the Canadian Securities Administration (CSA) on proposed amendments to NI 81-101 mutual fund prospectus disclosure and consequential amendments, Form 81-101F3 and Companion Policy 81-101CP mutual fund prospectus disclosure and consequential amendments, for the implementation of Stage 2 of point of sale disclosure for mutual funds.

Registration Requirements and Exemptions

Advocis has also submitted comments to the various provincial securities commissions on proposed amendments to National Instrument 31-103 registration requirements and exemptions and to Companion Policy 31-103CP registration requirements and exemptions — cost disclosure and performance reporting. staff


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