Embedded commissions – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Wed, 09 Oct 2024 19:14:11 +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 Embedded commissions – Investment Executive https://www.investmentexecutive.com 32 32 TD agrees to settle trailer fee class action https://www.investmentexecutive.com/news/from-the-regulators/td-agrees-to-settle-trailer-fee-class-action/ Wed, 09 Oct 2024 18:02:24 +0000 https://www.investmentexecutive.com/?p=494329 Claim alleged investors were harmed by mutual funds paying trailers to discount brokers

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]]> Trailer fee class action certified https://www.investmentexecutive.com/news/from-the-regulators/trailer-fee-class-action-certified/ Thu, 01 Aug 2024 20:49:44 +0000 https://www.investmentexecutive.com/?p=490402 RBC the latest large fund manager to face fund fee suit

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]]> How total cost reporting will affect life agents https://www.investmentexecutive.com/news/industry-news/how-total-cost-reporting-will-affect-life-agents/ Wed, 19 Jun 2024 19:02:41 +0000 https://www.investmentexecutive.com/?p=488059 After receiving enhanced statements, clients may have questions, FSRA says

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]]> FSRA seeks CRM2-like disclosures for seg funds https://www.investmentexecutive.com/news/from-the-regulators/fsra-seeks-crm2-disclosures-for-seg-funds/ Mon, 27 May 2024 19:38:48 +0000 https://www.investmentexecutive.com/?p=486565 Proposal would require seg fund disclosure of embedded costs

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]]> Trailer fee class action gets green light https://www.investmentexecutive.com/news/from-the-regulators/trailer-fee-class-action-gets-green-light/ Tue, 30 Jan 2024 20:18:44 +0000 https://www.investmentexecutive.com/?p=479481 Fourth case certified involving funds paying trailers to discount brokers

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]]> Proposed trailer fee class action denied again https://www.investmentexecutive.com/news/from-the-regulators/proposed-trailer-fee-class-action-denied-again/ Fri, 26 Jan 2024 19:33:22 +0000 https://www.investmentexecutive.com/?p=479355 Firms were allowed to collect trailers before the CSA ban, court rules

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]]> Court certifies another trailer-fee class action https://www.investmentexecutive.com/news/from-the-regulators/court-certifies-another-trailer-fee-class-action/ Wed, 20 Dec 2023 22:25:00 +0000 https://www.investmentexecutive.com/?p=477702 Case against 1832 Asset Management L.P. is the latest to secure certification

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]]> OSC aces audit follow-up, government needs work https://www.investmentexecutive.com/news/from-the-regulators/osc-aces-audit-follow-up-government-needs-work/ Wed, 06 Dec 2023 19:42:17 +0000 https://www.investmentexecutive.com/?p=476695 Decision on tougher investor protection measures coming by end of 2025

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]]> Ontario clients split on compensation in seg funds: poll https://www.investmentexecutive.com/news/research-and-markets/ontario-clients-split-on-compensation-in-seg-funds-poll/ Fri, 13 Oct 2023 17:34:32 +0000 https://www.investmentexecutive.com/?p=473186 Respondents to FSRA survey had mixed views on how they preferred to pay financial advisors

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]]> Regulators extend exemptions for discount brokers to comply with trailer ban https://www.investmentexecutive.com/news/from-the-regulators/regulators-extend-exemptions-for-discount-brokers-to-comply-with-trailer-ban/ Thu, 31 Aug 2023 19:27:02 +0000 https://www.investmentexecutive.com/?p=470886 The exemptions were previously slated to end on Nov. 30

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