Commissions and fees – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Fri, 15 Nov 2024 14:16:00 +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 CIRO sanctions supervisory lapses at Desjardins https://www.investmentexecutive.com/news/from-the-regulators/ciro-sanctions-supervisory-lapses-at-desjardins/ Fri, 15 Nov 2024 14:16:00 +0000 https://www.investmentexecutive.com/?p=496774 Firm failed to oversee trading activity by a couple of its reps

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]]> Ontario consults on new pension payout option https://www.investmentexecutive.com/news/from-the-regulators/ontario-consults-on-new-pension-payout-option/ Wed, 13 Nov 2024 18:06:50 +0000 https://www.investmentexecutive.com/?p=496654 Consultation seeks feedback on framework for variable life benefits

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]]> FINRA reviews day-trading rules https://www.investmentexecutive.com/news/from-the-regulators/finra-reviews-day-trading-rules/ Wed, 30 Oct 2024 17:48:40 +0000 https://www.investmentexecutive.com/?p=495715 SRO considers modernizing rules amid market, investor evolution

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]]> Fund dealer fiduciary duty class action fails https://www.investmentexecutive.com/news/from-the-regulators/fund-dealer-fiduciary-duty-class-action-fails/ Tue, 22 Oct 2024 18:06:10 +0000 https://www.investmentexecutive.com/?p=495260 Court rules no evidence of common breach, given differences among investors

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]]> SEC targets brokers’ best interests compliance https://www.investmentexecutive.com/news/from-the-regulators/sec-targets-brokers-best-interests-compliance/ Tue, 22 Oct 2024 00:21:53 +0000 https://www.investmentexecutive.com/?p=495215 Exam division details compliance priorities for year ahead

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]]> CIRO proposes total cost reporting rules https://www.investmentexecutive.com/news/from-the-regulators/ciro-proposes-total-cost-reporting-rules/ Thu, 10 Oct 2024 19:11:14 +0000 https://www.investmentexecutive.com/?p=494471 Self-regulatory organization aims to harmonize with CSA's revised requirements

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]]> Advisers failed to enforce investment limits: SEC https://www.investmentexecutive.com/news/from-the-regulators/advisers-failed-to-enforce-investment-limits-sec/ Wed, 25 Sep 2024 17:50:02 +0000 https://www.investmentexecutive.com/?p=493396 Regulator orders fines, disgorgement against portfolio manager, broker

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]]> Pre-IPO schemes in U.S. authorities’ crosshairs https://www.investmentexecutive.com/news/from-the-regulators/pre-ipo-schemes-in-u-s-authorities-crosshairs/ Thu, 12 Sep 2024 21:52:51 +0000 https://www.investmentexecutive.com/?p=492658 Unregistered investment funds are allegedly costing investors millions

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]]> FCA to examine fairness in insurance sales https://www.investmentexecutive.com/news/from-the-regulators/fca-to-examine-fairness-in-insurance-sales/ Wed, 28 Aug 2024 17:49:01 +0000 https://www.investmentexecutive.com/?p=491774 Regulators has concerns about conflicts, consumer value and competition

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]]> Big insurers post upside surprises: Moody’s https://www.investmentexecutive.com/news/research-and-markets/big-insurers-post-upside-surprises-moodys/ Mon, 12 Aug 2024 17:20:53 +0000 https://www.investmentexecutive.com/?p=490914 Great-West, Manulife enjoyed strong second-quarter results

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