Other Documents
2019
Sales Practices Frequently Asked Questions (July 2019)
The purpose of this Sales Practices FAQ is to provide guidance regarding sales practices and compensation arrangements permitted under NI 81-105, the Companion Policy to NI 81-105 (“81-105CP") and other guidance from Canadian Securities Administrators (CSA) and Ontario Securities Commission (OSC) staff, in addition to providing clarification of activities, whether permitted or restricted, that are outlined in NI 81-105 and 81-105CP.
2019 Your Guide to Investment Funds
Helpful information for every stage of your financial journey
2018
The purpose of this Sales Practices FAQ is to provide guidance regarding sales practices and compensation arrangements permitted under NI 81-105, the Companion Policy to NI 81-105 (“81-105CP") and other guidance from Canadian Securities Administrators (CSA) and Ontario Securities Commission (OSC) staff, in addition to providing clarification of activities, whether permitted or restricted, that are outlined in NI 81-105 and 81-105CP.
Helpful information for every stage of your financial journey