DSC mutual funds – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Fri, 20 Dec 2024 18:11:42 +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 DSC mutual funds – Investment Executive https://www.investmentexecutive.com 32 32 FINRA orders restitution to fund investors https://www.investmentexecutive.com/news/from-the-regulators/finra-orders-restitution-to-fund-investors/ Fri, 20 Dec 2024 18:11:42 +0000 https://www.investmentexecutive.com/?p=499055 Firms failed to ensure that investors got fund fee rebates, waivers

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]]> CSA seeks sales practices reforms https://www.investmentexecutive.com/news/from-the-regulators/csa-seeks-sales-practices-reforms/ Fri, 29 Nov 2024 15:08:45 +0000 https://www.investmentexecutive.com/?p=497634 Proposals aim to boost investor protection around proprietary fund sales

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]]> FSRA review finds compliance with seg fund DSC ban https://www.investmentexecutive.com/news/from-the-regulators/fsra-review-finds-compliance-with-seg-fund-dsc-ban/ Mon, 24 Jun 2024 20:24:32 +0000 https://www.investmentexecutive.com/?p=488346 Regulator reviewed 54 information filings from 14 insurers

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]]> FSRA tightens the screws on seg fund DSCs https://www.investmentexecutive.com/news/from-the-regulators/frsa-tightens-the-screws-on-seg-fund-dscs/ Tue, 09 Jan 2024 16:24:18 +0000 https://www.investmentexecutive.com/?p=478284 New measures address the use of DSCs with existing contracts

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]]> Advice-gap debate comes to insurance industry https://www.investmentexecutive.com/news/products/advice-gap-debate-comes-to-insurance-industry/ Fri, 12 May 2023 20:04:54 +0000 https://www.investmentexecutive.com/?p=465566 Ahead of the proposed DSC ban for seg funds, a familiar refrain is in play

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]]> MFDA firms limited DSC fund sales well ahead of ban: report https://www.investmentexecutive.com/news/industry-news/mfda-firms-limited-dsc-fund-sales-well-ahead-of-ban-report/ Wed, 11 Jan 2023 20:12:06 +0000 https://www.investmentexecutive.com/?p=458457 Also, fewer advisors left the advisory channel as the ban's effects faded

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]]> FSRA proposes DSC ban for seg funds https://www.investmentexecutive.com/news/from-the-regulators/fsra-proposes-dsc-ban-for-seg-funds/ Fri, 25 Nov 2022 16:12:58 +0000 https://www.investmentexecutive.com/?p=456405 Proposal would eliminate regulatory arbitrage between seg funds and mutual funds

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]]> CRM3, DSCs, new SRO top OSC agenda https://www.investmentexecutive.com/news/from-the-regulators/crm3-dscs-new-sro-top-osc-agenda/ Tue, 22 Nov 2022 19:12:33 +0000 https://www.investmentexecutive.com/?p=456088 Regulator sets out draft priorities for fiscal 2024

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]]> What caused soaring seg fund sales last year? https://www.investmentexecutive.com/news/industry-news/what-caused-soaring-seg-fund-sales-last-year/ Wed, 02 Nov 2022 16:46:21 +0000 https://www.investmentexecutive.com/?p=454762 Positive industry trends were the most prominent factors

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]]> Senior client DSC switch ends in sanctions https://www.investmentexecutive.com/news/from-the-regulators/senior-client-dsc-switch-ends-in-sanctions/ Thu, 28 Jul 2022 13:16:15 +0000 https://www.investmentexecutive.com/?p=448683 Rep fined after switching a nonagenarian's account into a DSC fund

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