Royal Mutual Funds – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Thu, 19 May 2022 20:20:30 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Royal Mutual Funds – Investment Executive https://www.investmentexecutive.com 32 32 Former rep fined, banned for misappropriated client money https://www.investmentexecutive.com/news/from-the-regulators/former-rep-fined-banned-for-misappropriated-client-money/ Thu, 19 May 2022 20:20:30 +0000 https://www.investmentexecutive.com/?p=444806 MFDA alleged over $300,000 was taken through early GIC redemptions, withdrawals

The post Former rep fined, banned for misappropriated client money appeared first on Investment Executive.

]]> Rep fined after OSC rules that regulatory panel erred https://www.investmentexecutive.com/news/from-the-regulators/rep-fined-after-osc-rules-that-regulatory-panel-erred/ Thu, 07 Oct 2021 13:24:07 +0000 https://www.investmentexecutive.com/?p=430714 The commission ordered sanctions against a former MFDA representative who misappropriated client money

The post Rep fined after OSC rules that regulatory panel erred appeared first on Investment Executive.

]]> Proposed fund dealer class action fails again https://www.investmentexecutive.com/news/from-the-regulators/proposed-fund-dealer-class-action-fails-again/ Thu, 12 Aug 2021 18:24:36 +0000 https://www.investmentexecutive.com/?p=426677 B.C. court dismisses appeal in "enhanced compensation" case

The post Proposed fund dealer class action fails again appeared first on Investment Executive.

]]> MFDA seeks additional sanctions in OSC review https://www.investmentexecutive.com/news/from-the-regulators/mfda-seeks-additional-sanctions-in-osc-review/ Tue, 20 Apr 2021 21:54:17 +0000 https://www.investmentexecutive.com/?p=420263 The SRO argues a hearing panel erred by failing to impose a fine against a rep who misappropriated a client's money

The post MFDA seeks additional sanctions in OSC review appeared first on Investment Executive.

]]> Court rejects class action against RBC fund dealer https://www.investmentexecutive.com/news/from-the-regulators/court-rejects-class-action-against-rbc-fund-dealer/ Wed, 25 Nov 2020 17:28:00 +0000 https://www.investmentexecutive.com/?p=411617 Case claimed extra compensation for selling in-house funds harmed investors

The post Court rejects class action against RBC fund dealer appeared first on Investment Executive.

]]> Royal Mutual Funds reprimanded for violating sales practices rule https://www.investmentexecutive.com/news/from-the-regulators/royal-mutual-funds-reprimanded-for-violating-sales-practices-rule/ Thu, 14 Jun 2018 14:23:31 +0000 https://www.investmentexecutive.com/?p=351402 Fund dealer paid reps 10 bps more in commissions for selling its proprietary RBC Portfolio Solutions funds

The post Royal Mutual Funds reprimanded for violating sales practices rule appeared first on Investment Executive.

]]> OSC to consider settlement with Royal Mutual Funds https://www.investmentexecutive.com/news/from-the-regulators/osc-to-consider-settlement-with-royal-mutual-funds/ Fri, 08 Jun 2018 21:15:07 +0000 https://www.investmentexecutive.com/?p=351160 The regulator alleges the fund dealer violated the mutual fund sales practices rule by paying reps higher commissions to sell its proprietary funds

The post OSC to consider settlement with Royal Mutual Funds appeared first on Investment Executive.

]]> Royal eliminates sales charges on 3rd-party funds https://www.investmentexecutive.com/news/products/royal-eliminates-sales-charges-on-3rd-party-funds/ Mon, 10 Apr 2006 13:50:00 +0000 https://www.investmentexecutive.com/uncategorized/royal-eliminates-sales-charges-on-3rd-party-funds/ Bank expands branch-based investing opportunities

The post Royal eliminates sales charges on 3rd-party funds appeared first on Investment Executive.

]]> Revisions to RBC portfolios delayed by market turmoil https://www.investmentexecutive.com/news/products/revisions-to-rbc-portfolios-delayed-by-market-turmoil/ Wed, 07 Aug 2002 21:15:00 +0000 https://www.investmentexecutive.com/uncategorized/revisions-to-rbc-portfolios-delayed-by-market-turmoil/ Changes to Select portfolios put off until September

The post Revisions to RBC portfolios delayed by market turmoil appeared first on Investment Executive.

]]>