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Guidelines for Capital Accumulation Plans - Joint …

Joint Forum of Financial Market Regulators Forum conjoint des autorit s de r glementation du march financier GGuuiiddeelliinneess ffoorr CCaappiittaall AAccccuummuullaattiioonn PPllaannss MMaayy 2288,, 22000044 5160 Yonge Street, Box 85, 17th Floor, North York, ON M2N 6L9 Telephone: 416-590-7054; Facsimile: 416-590-7070 Table of Contents May 28, 2004 Capital Accumulation Plan Guidelines TABLE OF CONTENTS Section 1: - - The Purpose of the - Implications for the CAP Sponsor, Service Providers, and CAP Section 2: Setting Up a - - Investment - Maintenance of Section 3: Investment Information and Decision-Making Tools for CAP - - Investment - Investment Decision-Making - Investment Section 4: Introducing the Capital Accumulation Plan to CAP - - Investment - Transfer - Description of Fees, Expenses and - Additional Section 5: Ongoing Communication to - Member - Access to - Performance Reports for Investment Section 6.

May 28, 2004 · Section 1: Introduction May 28, 2004 Capital Accumulation Plan Guideli nes 2 1.3 - IMPLICATIONS FOR THE CAP SPONSOR, SERVICE PROVIDERS, AND CAP

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