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Company: Royal Mutual Funds

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The commission ordered sanctions against a former MFDA representative who misappropriated client money

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B.C. court dismisses appeal in "enhanced compensation" case

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The SRO argues a hearing panel erred by failing to impose a fine against a rep who misappropriated a client's money

Court.

Case claimed extra compensation for selling in-house funds harmed investors

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Fund dealer paid reps 10 bps more in commissions for selling its proprietary RBC Portfolio Solutions funds

RBC logo Royal Bank of Canada sign

The regulator alleges the fund dealer violated the mutual fund sales practices rule by paying reps higher commissions to sell its proprietary funds

Bank expands branch-based investing opportunities

  • By: IE Staff
  • April 10, 2006 April 10, 2006
  • 08:50

Changes to Select portfolios put off until September

  • By: IE Staff
  • August 7, 2002 August 7, 2002
  • 16:15