The Investment Dealers Association of Canada is returning more than $7.2 million to mutual fund companies involved in recent market-timing settlements for reimbursement to unitholders.
The funds go to mutual fund companies in which market timing had occurred as a result of the conduct of three IDA member firms — BMO Nesbitt Burns Inc., RBC Dominion Securities Inc. and TD Waterhouse Canada Inc.
Four fund companies will receive a total of $6,989,402.20, divided as follows: CI Mutual Funds Inc. will receive $3,574,894.37; Franklin Templeton Investments, $1,208,920.54; AIC Ltd., $1,165,038.92; and AGF Funds Inc., $1,040,548.37.
Thirteen other fund companies will receive a total of $224,798.69, with individual amounts ranging from $546.71 to $66,393.35, the IDA said Friday.
In December, the IDA approved settlement agreements with BMO Nesbitt, RBC DS and TD Waterhouse, imposing penalties totaling more than $41.3 million. The penalties were made up of comprised of $20.3 million in fines and almost $21 million for disgorgement of revenues. Revenues disgorged included commissions paid to the firms by their market-timing clients as well as trailer fees paid to the firms by the mutual funds.
The IDA said it is the trailer fees, totaling about $7.2 (including interest) that are being returned to the fund companies for reimbursement to unitholders. Commissions disgorged and fines imposed will be used by the IDA to cover the costs of disciplinary hearings and to support capital markets projects in the public interest.
Paul Bourque, IDA’s senior vice president, member regulation, said in a statement the that the IDA expects mutual fund managers “to administer these settlement funds to benefit unitholders in a manner consistent with their fiduciary duties under section 116 of the Securities Act (Ontario).”
The IDA said investors should contact their fund companies directly for additional information regarding distribution of these monies.
Fund companies to get back $7.2 million from market-timing settlements
IDA says money, to be reimbursed to unitholders, is from trailer fees paid to brokerage firms by fund companies
- By: IE Staff
- April 1, 2005 April 1, 2005
- 14:44