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Lessons from the TD Settlement

Where Stock Exchange Tower
800 Place Victoria, 37th Floor
Montréal, QC
H4Z 1E9
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Fasken Martineau's Investment Products & Wealth Management group is pleased to invite you to this seminar, which will be given by David Hausman and Brad Moore, two partners from the Litigation and Dispute Resolution group in our Toronto offices. François Brais, a partner in the Investment Products & Wealth Management group in our Montreal offices, will moderate the seminar.

David and Brad acted for TD in the recent No Contest Settlement negotiations with the Ontario Securities Commission regarding mutual fund fee issues.

This settlement has prompted dealers across Canada that offer proprietary products or provide services to clients on fee-based billing platforms to review their sales and supervision practices.  The issues currently under review give rise to a number of critical issues regarding "know your product" obligations, the obligation to deal honestly, fairly and in good faith with clients and the oversight and administration of fee-based billing systems.

Given that these issues have come to light at the same time as the advent of Phase 2 of the Client Relationship Model (CRM 2), our speakers will give you an overview of these issues, a must for mutual fund issuers and distributors alike.

We look forward to seeing you there!