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Keyword: Commissions and fees

258 results found

SEC charges firms in pre-IPO scheme

U.S. authorities allege investors hit with over US$88 million in undisclosed fees

investor protection

CIRO’s investor office sets broad agenda

Group to focus on investor-advisor relationships, complaints, suitability

advisor and client meeting

AMF consults on total cost reporting for seg funds

Draft rules out for comment, expected to take effect in 2026

Patron saint of investor protection passes away

Groundbreaking securities lawyer, Glorianne Stromberg, dies

investor protection

OBSI named sole provider for bank complaints

Finance also announced measures to tackle bank fees and mortgage relief

Sliced pumpkin pie above view on blue background. People grabbing slices of cake stock photo

Ontario clients split on compensation in seg funds: poll

Respondents to FSRA survey had mixed views on how they preferred to pay financial advisors

Help clients understand fees ahead of total cost reporting

Annual IFIC survey uncovers opportunity to improve investor understanding

Taxpayer's desk and excise documents to import and export industrial goods for the purpose of maximizing profits for large business organizations. (Taxpayer's desk and excise documents to import and export industrial goods for the purpose of maximizin

NASAA details investment advisers’ compliance issues

Registration, record-keeping and supervisory deficiencies were most common in firms' exams

Investment entities need to improve disclosure practices: CSA

SEC sanctions private equity manager over non-disclosure

Firm failed to reveal conflicted fee payments, regulator charged

Picking a dollar

SEC sanctions investor overcharging

Back-office snafu meant clients didn't get discounts on standard fees