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Introducing point of sale Stage 2 for mutual funds: the impact on dealers selling mutual funds

Miller Thomson LLP
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Canada
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November 21 2012

A careful reading of the pronouncements of the Canadian Securities Administrators ("CSA") discloses that in all likelihood, Stage 2 of the point of sale ("POS") initiative will become reality during 2013

Mutual funds point of sale stage 2: an opportunity to revisit NP 11-201 Electronic Delivery of Documents

Miller Thomson LLP
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Canada
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November 21 2012

When the Canadian Securities Administrators ("CSA") released a re-written National Policy 11-201 Electronic Delivery of Documents ("NP 11-201") in November 2011, the potential impact of the amendments may have slipped by, relatively unnoticed by dealers

Jones v. Harris: decision by U.S. Supreme Court provides guidance to investment funds industry

Miller Thomson LLP
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Canada
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August 13 2010

Few lawyers who attended law school in the eighties and nineties can have failed to come across the writings of Richard Posner, surely one of the most energetic and prolific academics ever to have graced a Senior Common Room

Distribution of non arm's-length investment products

Miller Thomson LLP
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Canada
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May 14 2010

The Investment Industry Regulatory Organization of Canada (IIROC) is seeking comment with respect to how firms should deal, if at all, in "non-arm's length" investment products

New securities rules enhance protection for clients of professional money managers

Miller Thomson LLP
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Canada
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February 25 2010

The management of endowments or capital pools of any significant size is most often entrusted to a professional money manager

Capital raising under the new registration regime

Miller Thomson LLP
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Canada
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October 20 2009

On July 17, 2009, National Instrument 31-103 Registration Requirements and Exemptions ("NI 31-103") was published with an effective date of September 28, 2009

NI 31-103 Registration Requirements and Exemptions

Miller Thomson LLP
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Canada
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July 23 2009

Long awaited and much anticipated, National Instrument 31-103 Registration Requirements and Exemptions (NI 31-103) was published on July 17, 2009