Commissions and fees – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Tue, 14 Jan 2025 19:12:22 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Commissions and fees – Investment Executive https://www.investmentexecutive.com 32 32 Despite lower costs, EU funds still dear, ESMA finds https://www.investmentexecutive.com/news/from-the-regulators/despite-lower-costs-eu-funds-still-dear-esma-finds/ Tue, 14 Jan 2025 18:14:26 +0000 https://www.investmentexecutive.com/?p=500172 Research finds that active funds underperformed between 2019 and 2023

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]]> Wall Street to report stronger earnings: Moody’s https://www.investmentexecutive.com/news/research-and-markets/wall-street-to-report-stronger-earnings-moodys/ Mon, 13 Jan 2025 20:59:09 +0000 https://www.investmentexecutive.com/?p=500115 Investment banking, trading revenues expected to rise in Q4

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]]> Edward Jones to pay US$17 million in NASAA settlement https://www.investmentexecutive.com/news/from-the-regulators/edward-jones-to-pay-us17-million-in-nasaa-settlement/ Thu, 09 Jan 2025 14:30:44 +0000 https://www.investmentexecutive.com/?p=499847 Fund investors paid front-end loads, moved into fee-based accounts sooner than expected, regulators alleged

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]]> Closing the gap between mutual, seg fund regulation https://www.investmentexecutive.com/news/from-the-regulators/closing-the-gap-between-mutual-seg-fund-regulation/ Wed, 08 Jan 2025 21:02:41 +0000 https://www.investmentexecutive.com/?p=499805 CCIR, CISRO propose new guidance on the design, distribution of seg funds

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]]> Wall Street buoyed by rising fee pool in 2024 https://www.investmentexecutive.com/news/research-and-markets/wall-street-buoyed-by-rising-fee-pool-in-2024/ Mon, 06 Jan 2025 19:11:05 +0000 https://www.investmentexecutive.com/?p=499511 Record debt issuance powers strong year for investment banking revenues: LSEG

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]]> TSX proposes trading rule reforms https://www.investmentexecutive.com/news/from-the-regulators/tsx-proposes-trading-rule-reforms/ Fri, 20 Dec 2024 19:44:41 +0000 https://www.investmentexecutive.com/?p=499065 Exchange seeks change to dark trading price improvement rules, feedback on unintentional crosses

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]]> FINRA orders restitution to fund investors https://www.investmentexecutive.com/news/from-the-regulators/finra-orders-restitution-to-fund-investors/ Fri, 20 Dec 2024 18:11:42 +0000 https://www.investmentexecutive.com/?p=499055 Firms failed to ensure that investors got fund fee rebates, waivers

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]]> FCA sets out to redesign U.K. retail investment disclosure https://www.investmentexecutive.com/news/from-the-regulators/fca-sets-out-to-redesign-uk-retail-investment-disclosure/ Thu, 19 Dec 2024 19:23:36 +0000 https://www.investmentexecutive.com/?p=498942 Regulators seek more useful, flexible product disclosures

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]]> Ontario court approves trailer fee class action deal https://www.investmentexecutive.com/news/from-the-regulators/ontario-court-approves-trailer-fee-class-action-deal/ Wed, 11 Dec 2024 18:58:21 +0000 https://www.investmentexecutive.com/?p=498371 TDAM to pay $70.25 million to settle class action over the payment of trailers to discount brokers

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]]> Ex-fund rep used online brokers with clients https://www.investmentexecutive.com/news/from-the-regulators/ex-fund-rep-used-online-brokers-with-clients/ Mon, 09 Dec 2024 20:15:52 +0000 https://www.investmentexecutive.com/?p=498196 Rep circumvented registration limits to trade wider range of securities

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