Keyword: Embedded commissions

167 results found
Big binders

Decision on tougher investor protection measures coming by end of 2025

Sliced pumpkin pie above view on blue background. People grabbing slices of cake stock photo

Respondents to FSRA survey had mixed views on how they preferred to pay financial advisors

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