Investment Executive Weekly newsletter

Week of June 21, 2018
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From the Regulators
CSA stands pat on embedded commissions
But regulators are banning DSCs and enhancing regulatory requirements for registrants to avoid situations that place them in a conflict of interest
June 21, 2018

Columns
Opinion: CSA decision a big win for the industry
Dealers and advisors can breathe a sigh of relief that there is no blanket ban on trailer commissions and no statutory best interest standard
June 21, 2018

Dealers’ Report Card
In defence of commissions
Most advisors surveyed for this year's Dealers' Report Card were strongly against regulators banning embedded commissions
June 1, 2018

News
Making a move on fees
New lawsuit and SRO proposals could affect CSA’s decision
April 27, 2018

Brokerage Report Card
Advisors favour action on commissions
Although 63.5% of advisors surveyed for the Report Card favour regulators addressing concerns surrounding the use of embedded commissions, opinions were split regarding the right approach: a ban or enhanced transparency
April 27, 2018

Regulators’ Report Card
Time to make a move on commissions
The investment industry wants regulators to make a decision on embedded commissions once and for all
March 29, 2018

Building Your Business
Awaiting a decision
After a year of intense debate over a ban on embedded commissions, all eyes are on the CSA
January 15, 2018

Special Reports
The end of embedded commissions? How we got here
The Canadian Securities Administrators has decided not to ban embedded commissions after all
22 June 2018


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