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Keyword: Commissions and fees

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Financial stock exchange market display screen board on the street

It's AUM that matters most to managers' careers, research finds

Judge's gavel with magnifying glass on black.

Four banks face lawsuits over duplicate NSF fees

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Settlement includes disgorgement, penalty and suspension

Businessman Walk Over Cliff Gap Risk Mountain Balancing Flat Illustration

Investors face risks from sludge, nudges and other hidden tactics

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Court rules promissory note between rep and firm is enforceable

client meeting

Study participants preferred to rely on the knowledge of professionals rather than learn about investing

young woman with question mark on a gray background

To be seen as professionals, advisors must be reasonable and transparent, writes John De Goey

Magnifying glass

New rules beef up disclosure, investor protections around shell company financings

Euro trading

Policymakers to implement consolidated tapes, ban payments for order flow

Entrance to Financial Services Regulatory Authority of Ontario

New measures address the use of DSCs with existing contracts