Keyword: Mutual fund dealers

153 results found
angry client meeting

After receiving enhanced statements, clients may have questions, FSRA says

Old and new sign

Fees to rise for most firms as minimums go up, certain dealers pay higher share

online investing

Broker conflicts, finfluencers, gamification among regulators' priorities

Clients lost more than $1.5 million on rep's failed fintech venture

a man pushing a giant ball while others push squares

Industry divided on, investor advocates opposed to, reforms

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Terms of firm's sale weren't fully disclosed to regulators

Review process

First oversight review finds SRO complying with recognition order

CIRO firms exempt from new standards for Quebec financial firms

SRO publishes playbook for dealing with growing cyber threat

client meeting

Study participants preferred to rely on the knowledge of professionals rather than learn about investing