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Keyword: Commissions and fees

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Financial Services Regulatory Authority of Ontario logo

New agent allegedly split commissions with ex-agent, churned those clients

A man removing interlocking pieces from a large stack

Integrating the SROs' compliance and enforcement functions is a top priority alongside policy work

Stacked white books on rules and regulations

Commission structures, account transfer standards and dual registration are all in the works

rules and regulations

Ban should apply in provinces that have yet to announce it, regulators say

Europe stacks

Regulators ask lawmakers for action on investment fund costs

rules and regulations

Insurance regulators promised new guidance on upfront compensation structures

Sign on the building of Financial Industry Regulatory Authority, or Finra, in Manhattan NYC lower financial district downtown, businessman man walking stock photo

SRO expels brokerage over widespread regulatory violations

long road

Rules take effect for the 2026 reporting year, with clients receiving disclosure in 2027

calculator and pie charts

Traditional fund managers will be challenged to attract, retain assets

Couple getting financial retirement advice from consultant at home

CSA and CCIR finalize CRM3 rules, give industry until 2026 to adopt