Keyword: Embedded commissions

165 results found

The exemptions were previously slated to end on Nov. 30

client meeting

FCA says there's work to be done in terms of ensuring value and enhancing competition

Judge makes ruling

Key issue of whether trailer payments were improper to be decided before determining which investors are entitled to damages

Conflicted graph

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

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

Court denies leave to appeal certification decision in a BMO funds case

The CSA warns the industry against abuses as bans loom for trailers, DSCs

The CSA plans to ban the payment of trailer fees to online brokerages later this year

  • By: IE Staff
  • January 17, 2020 January 22, 2020
  • 17:00

Australia, the U.S. and the Netherlands top the rankings

The deferred sales charge structure was created to preserve generous commissions for mutual fund sales