Commissions and fees | Investment Executive https://www.investmentexecutive.com/tag/commissions-and-fees/ Canada's news source for financial professionals Tue, 07 Apr 2026 19:09:30 +0000 en-US hourly 1 https://wordpress.org/?v=6.9 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Commissions and fees | Investment Executive https://www.investmentexecutive.com/tag/commissions-and-fees/ 32 32 Global investment banking fees up in Q1: LSEG https://www.investmentexecutive.com/news/global-investment-banking-fees-up-in-q1-lseg/ Tue, 07 Apr 2026 19:09:30 +0000 https://www.investmentexecutive.com/?p=535671 Debt, equity underwriting fees rise, M&A advisory fees up too

The post Global investment banking fees up in Q1: LSEG appeared first on Investment Executive.

]]> Firm logged into accounts to approve fees: SEC https://www.investmentexecutive.com/news/from-the-regulators/firm-logged-into-accounts-to-approve-fees-sec/ Wed, 01 Apr 2026 18:32:06 +0000 https://www.investmentexecutive.com/?p=535386 U.S. advisory firm settles allegation that it levied undisclosed fees

The post Firm logged into accounts to approve fees: SEC appeared first on Investment Executive.

]]> U.S. advisor settles SEC charges https://www.investmentexecutive.com/news/u-s-advisor-settles-sec-charges/ Mon, 30 Mar 2026 18:44:47 +0000 https://www.investmentexecutive.com/?p=535178 SEC alleged firm failed to disclose conflicts in mutual fund revenue sharing

The post U.S. advisor settles SEC charges appeared first on Investment Executive.

]]> Trailer fees in FCA’s crosshairs once again https://www.investmentexecutive.com/news/trailer-fees-in-fcas-crosshairs-once-again/ Wed, 25 Mar 2026 18:48:14 +0000 https://www.investmentexecutive.com/?p=534794 Concerns about investor harm arise as trailers persist, despite 2012 ban

The post Trailer fees in FCA’s crosshairs once again appeared first on Investment Executive.

]]> Firm failed to disclose conflict in asset allocation: SEC https://www.investmentexecutive.com/news/firm-failed-to-disclose-conflict-in-asset-allocation-sec/ Tue, 24 Mar 2026 18:54:41 +0000 https://www.investmentexecutive.com/?p=534669 Conflict arose from allocation that generated revenue from "no fee" accounts

The post Firm failed to disclose conflict in asset allocation: SEC appeared first on Investment Executive.

]]> SEC settles case against VC fund adviser https://www.investmentexecutive.com/news/sec-settles-case-against-vc-fund-adviser/ Tue, 24 Mar 2026 18:38:25 +0000 https://www.investmentexecutive.com/?p=534583 Regulator alleged US$14 million overcharging, settles for US$150,000 penalty

The post SEC settles case against VC fund adviser appeared first on Investment Executive.

]]> Retail advice most at risk to AI threat: Fitch https://www.investmentexecutive.com/news/retail-advice-most-at-risk-to-ai-threat-fitch/ Mon, 23 Mar 2026 19:47:01 +0000 https://www.investmentexecutive.com/?p=534552 Business model in peril, if investors start to trust AI agents

The post Retail advice most at risk to AI threat: Fitch appeared first on Investment Executive.

]]> Crypto class action settlement complete https://www.investmentexecutive.com/news/crypto-class-action-settlement-complete/ Mon, 09 Mar 2026 16:23:55 +0000 https://www.investmentexecutive.com/?p=533371 Court grants Wealthsimple's application for closing judgment

The post Crypto class action settlement complete appeared first on Investment Executive.

]]> Trio pleads guilty in US$500-million scheme https://www.investmentexecutive.com/news/trio-pleads-guilty-in-us500-million-scheme/ Wed, 04 Mar 2026 18:57:06 +0000 https://www.investmentexecutive.com/?p=533135 Firms failed to disclose massive markups on pre-IPO securities

The post Trio pleads guilty in US$500-million scheme appeared first on Investment Executive.

]]> Fund costs declining, thanks to new launches: ESMA https://www.investmentexecutive.com/news/fund-costs-declining-thanks-to-new-launches-esma/ Tue, 03 Mar 2026 19:16:42 +0000 https://www.investmentexecutive.com/?p=533049 The debut of cheaper funds is driving investors' costs down, research finds

The post Fund costs declining, thanks to new launches: ESMA appeared first on Investment Executive.

]]>