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Keyword: Commissions and fees

125 results found
suspicious client

A review suggests most fee disclosure is incomplete — and some fees aren't disclosed at all

Closed sign in a shop showroom with reflections

Two funds will be closed

  • By: IE Staff
  • November 5, 2019 November 5, 2019
  • 11:14
Calculator pen, balance sheet and statistics for sales and taxes

The department acknowledges there often isn't a tax motivation when doing so

Female advisor meeting with male client at hotel lobby

Fees and registration are the focus of two CSA campaigns this month

businesspeople with digital tablet sitting in modern office

Advisors can build trust with clients by explaining fees

  • By: Susan Silma
  • September 25, 2019 November 11, 2019
  • 15:42
Signing contract form

The firm's advisor contract allowed for the standards to be implemented, the court said

Close up of an executive hands holding a pen and indicating where to sign a contract at office

The billable hour model is not appropriate for advisors who integrate financial planning and investment management

Couple getting financial retirement advice from consultant at home

Many investors receive little advice for the fees they pay

  • By: IE Staff
  • July 29, 2019 October 31, 2019
  • 15:27
Stacked white books on rules and regulations

The OSC released its statement of priorities for 2019-2020 on Thursday

High angle view of mallet eyeglasses legal book in courtroom

RBC and TD are alleged to have overcharged clients for a hidden "closet indexing" investment strategy

  • By: IE Staff
  • April 10, 2019 October 17, 2019
  • 14:34