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Keyword: Commissions and fees

166 results found
Partners discussing new plans

Regulator's reviews uncover shortcomings in brokers' Reg BI compliance

advisor client meeting

FAIR Canada research finds investors worry about fees and suitability, and have low faith in regulatory protections

Court.

Ontario court rules that discount brokers' receipt of trailing commissions was not considered illegal before the June 2022 ban

man being rescued by lifeboat

New guidance encourages insurance industry to accommodate financially stressed clients

gavel

Fees charged to certain accounts didn't match fee agreements

  • By: IE Staff
  • December 22, 2022 December 22, 2022
  • 17:26
Business lawyer team. Working together of lawyer in the meeting.

The firm will pay nearly $11 million in client compensation after reps boosted their own performance numbers

Successful crypto trader investor broker, using laptop for cryptocurrency financial market analysis, buying or selling cryptocurrency, analyzing financial diagrams on the screen stock photo

Many investors under 35 are being drawn to zero-commission online brokerages

skyscrapers in Manhattan at sunset, New York City

Bank sanctioned over misconduct in auto lending and banking

Financial accounting business sheet calculator

Quebec regulator proposes $5,000 penalty if insurers charge DSCs for seg funds

  • By: IE Staff
  • December 16, 2022 December 16, 2022
  • 12:24

Proposal would eliminate regulatory arbitrage between seg funds and mutual funds