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Keyword: Commissions and fees

257 results found
Judge looks at papers

Ontario court approves trailer fee class action deal

TDAM to pay $70.25 million to settle class action over the payment of trailers to discount brokers

penalty card

Ex-fund rep used online brokers with clients

Rep circumvented registration limits to trade wider range of securities

The Australian Coat of Arms in metal hangs on the glass wall of a building that reflects another high-rise across the street.

ASIC reports on industry complaint handling

Regulator launches effort to enhance transparency of firms' dispute resolution efforts

the globe as currencies

Exchanges, clearing agencies to thrive in 2025

Sector to enjoy strong volumes, diversification, helpful regulation: Fitch

U.S. efforts to undo regulatory reforms likely to be limited: Russell

CSA seeks sales practices reforms

Proposals aim to boost investor protection around proprietary fund sales

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

CIRO sanctions supervisory lapses at Desjardins

Firm failed to oversee trading activity by a couple of its reps

Filling out form

Ontario consults on new pension payout option

Consultation seeks feedback on framework for variable life benefits

Phone finances

FINRA reviews day-trading rules

SRO considers modernizing rules amid market, investor evolution

Class action

Fund dealer fiduciary duty class action fails

Court rules no evidence of common breach, given differences among investors

Inspecting papers

SEC targets brokers’ best interests compliance

Exam division details compliance priorities for year ahead