Question of whether client used stop loss orders requires hearing, court rules
The funding comes from enforcement sanctions
Fourth case certified involving funds paying trailers to discount brokers
Firms were allowed to collect trailers before the CSA ban, court rules
Certain clients overcharged, others undercharged, due to recordkeeping glitch
Discount brokerage offers Canadian and U.S. equities
Case against 1832 Asset Management L.P. is the latest to secure certification
Regulators to explore the regulation, provision of advice online
Group to focus on investor-advisor relationships, complaints, suitability
New SRO aims to harmonize requirements for fund dealers and investment dealers