Initiative/Project Name: |
Practice Standards |
|---|---|
Description: |
The Joint Forum statement of Principles and Practices for the Sale of Products and Services in the Financial Sector has been developed by regulators from all jurisdictions except Quebec and across all financial product sectors. It is expected that these principles and practices will be incorporated into the codes of conduct of financial industry associations and followed by all financial intermediaries in the distribution of financial products and services. |
Publications:
| Document Name | Date |
Description |
|---|---|---|
| Final Principles and Practices | January 28, 2005 |
Final Principles and Practices for the Sale of Products and Services in the Financial Sector |
| Consumer's Guide | January 28, 2005 |
Consumer's Guide to Financial Transactions |
| News Release | January 28, 2005 |
News release from Joint Forum regarding release of Final Principles and Practices |
| Backgrounder | January 28, 2005 |
Backgrounder regarding release of Final Principles and Practices |
| Letter to Stakeholders | January 28, 2005 |
Letter to stakeholders regarding release of Final Principles and Practices |
| Summary of Responses | May 29, 2003 |
Summary of stakeholder responses to Proposed Principles and Practices consultation |
| Stakeholder Submissions | May 29, 2003 |
Stakeholder comments regarding proposed Principles and Practices for the Sale of Products in the Financial Services Sector |
| Consultation Document | March 6, 2003 |
Proposed Principles and Practices Consultation Document |
| Consumer's Guide | March 6, 2003 |
Proposed Consumer's Guide to Financial Transactions |
| Letter to Stakeholders | March 6, 2003 |
Letter to stakeholders regarding consultation on Proposed Principles |
| Backgrounder | March 6, 2003 |
Backgrounder regarding consultation document on Proposed Principles |
| Industry Examples | March 6, 2003 |
Descriptive examples to enhance intermediaries’ understanding of the principles and practices. |