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Investor Presentaiton

Mutual funds Investor protection in Québec TABLE OF CONTENTS 1. 2. 3. INTRODUCTION.... OVERVIEW OF THE MUTUAL FUND INDUSTRY 2.1. A big industry 2.2. The major players ... 2.3. The regulatory framework.. 2.3.1 2.3.2 Current regulations.. Projects underway ISSUES IN THE MUTUAL FUNDS SECTOR 3.1. Governance 3.1.1 Plurality of functions 3.1.2 Forming an independent review committee 3.2. Information exchange. 3.2.1 Limits on disclosure of information by auditing firms.. 3.2.2 Restrictions on informing the law enforcement community 3.3. Investor compensation. 3.3.1 Investor compensation in the United States 3.3.2 Investor compensation in Canada 3.3.3 Recent developments in investor compensation: civil remedies on secondary markets 3.3.4 The financial services compensation fund (Québec only) 3.3.5 The limits of Québec's compensation mechanisms... 3.4. Penalties 3.5. Other issues 4. CONCLUSION. APPENDIX I.......... APPENDIX II 1 3 4 5 5 34556 9 9 10 13 13 14 15 15 16 17 18 18 19 20 21 22 23 ii Consultation paper
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