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Keyword: Commissions and fees

242 results found

Fund investors to get full cost disclosure, eventually

CSA and CCIR finalize CRM3 rules, give industry until 2026 to adopt

Hand holding world currencies

Merrill Lynch settles SEC fee disclosure charges

Firm failed to inform clients about added forex charges, regulator alleged

Discount brokers’ trailers harm all investors, lawsuit alleges

Proposed class action claims that improper fees hurt investors' returns

Goldman looks to wealth management for growth

Fitch says Wall Street giant is seeking stability in retail fee revenues

Businessman standing in front of the panel with financial statistics

Don’t let negative returns result in negative client meetings

Here are six ways to demonstrate value to clients

Conflicted graph

SEC commissioners criticize enforcement rationale

Regulators objected to applying "best execution" duties to fund selection

Partners discussing new plans

Firms falling short of “best interest” standards: SEC

Regulator's reviews uncover shortcomings in brokers' Reg BI compliance

Investors in “uneasy relationship” with advisors, study shows

FAIR Canada research finds investors worry about fees and suitability, and have low faith in regulatory protections

Discount brokers can’t be sued over pre-ban trailers, court rules

Ontario court rules that discount brokers' receipt of trailing commissions was not considered illegal before the June 2022 ban

man being rescued by lifeboat

FCA seeks to extend Covid-era consumer protections

New guidance encourages insurance industry to accommodate financially stressed clients