Commissions and fees – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Mon, 22 Apr 2024 20:35:41 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 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 32 32 Wall Street banks see brighter capital markets https://www.investmentexecutive.com/news/research-and-markets/wall-street-banks-see-brighter-capital-markets/ Mon, 22 Apr 2024 20:35:41 +0000 https://www.investmentexecutive.com/?p=484506 A rebound in investment banking represents a ray of hope for sector

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]]> Retail investor issues get top billing on IOSCO agenda https://www.investmentexecutive.com/news/from-the-regulators/retail-investor-issues-get-top-billing-on-iosco-agenda/ Mon, 15 Apr 2024 18:00:33 +0000 https://www.investmentexecutive.com/?p=483759 Broker conflicts, finfluencers, gamification among regulators' priorities

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]]> Ontario court certifies fourth NSF fee class action https://www.investmentexecutive.com/news/from-the-regulators/ontario-court-certifies-fourth-nsf-fee-class-action/ Fri, 12 Apr 2024 12:51:10 +0000 https://www.investmentexecutive.com/?p=483595 Case alleges Scotiabank charged duplicate fees on failed debits

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]]> BMO Nesbitt sanctioned for supervisory shortcomings https://www.investmentexecutive.com/news/from-the-regulators/bmo-nesbitt-sanctioned-for-supervisory-shortcomings/ Fri, 05 Apr 2024 20:57:46 +0000 https://www.investmentexecutive.com/?p=483279 Firm failed to adequately oversee rep's risky trading strategy, CIRO says

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]]> Fund managers paid for flows, rather than returns https://www.investmentexecutive.com/news/research-and-markets/fund-managers-paid-for-flows-rather-than-returns/ Tue, 05 Mar 2024 21:05:58 +0000 https://www.investmentexecutive.com/?p=481595 It's AUM that matters most to managers' careers, research finds

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]]> Court green-lights funding for bank class actions https://www.investmentexecutive.com/news/from-the-regulators/court-green-lights-funding-for-bank-class-actions/ Tue, 05 Mar 2024 18:48:31 +0000 https://www.investmentexecutive.com/?p=481587 Four banks face lawsuits over duplicate NSF fees

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]]> Rep admits to unapproved discretionary trades https://www.investmentexecutive.com/news/from-the-regulators/rep-admits-to-unapproved-discretionary-trades/ Tue, 27 Feb 2024 22:21:21 +0000 https://www.investmentexecutive.com/?p=481189 Settlement includes disgorgement, penalty and suspension

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]]> OSC shines a light on “dark” arts of online investing https://www.investmentexecutive.com/news/from-the-regulators/osc-shines-a-light-on-dark-arts-of-online-investing/ Wed, 21 Feb 2024 19:15:10 +0000 https://www.investmentexecutive.com/?p=480811 Investors face risks from sludge, nudges and other hidden tactics

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]]> Former rep on the hook for recruitment loan https://www.investmentexecutive.com/news/from-the-regulators/former-rep-on-the-hook-for-recruitment-loan/ Thu, 15 Feb 2024 18:49:32 +0000 https://www.investmentexecutive.com/?p=480563 Court rules promissory note between rep and firm is enforceable

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]]> Investors blindly trust advisors, FAIR Canada finds https://www.investmentexecutive.com/news/from-the-regulators/investors-blindly-trust-advisors-fair-canada-finds/ Tue, 30 Jan 2024 16:57:01 +0000 https://www.investmentexecutive.com/?p=479478 Study participants preferred to rely on the knowledge of professionals rather than learn about investing

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