Home Discount brokerages

Keyword: Discount brokerages

213 results found
three colleagues discussing their business prospects and looking at laptop screen

Regulators to explore the regulation, provision of advice online

investor protection

Group to focus on investor-advisor relationships, complaints, suitability

merger

New SRO aims to harmonize requirements for fund dealers and investment dealers

thumbs down

JRC report details complaints to OBSI involving mutual fund suitability, low-ball settlements

notepad, laptop and coffee cup on wood table

The exemptions were previously slated to end on Nov. 30

Judge makes ruling

Key issue of whether trailer payments were improper to be decided before determining which investors are entitled to damages

virtual regulation

DIY investor sold 10 times more shares than he owned after a share consolidation

agreement, attorney, auction, authority, balance, barrister, beam, scale, book, bookcase, books, brass, brown, business, colourconcept, contract, counsel, court, courthouse, courtroom, crime, criminal, decision, defendant, divorce, enforcement, financefreedom, gavel, government, guilt, guilty, hammer, horizontal, innocence, judge, judgement, judgment, judicial, justice, lawlawyer, legal, legislation, liberty, libra, litigation, mallet, prosecution, punishment, rights, scale, scales, scales, of, justice, sentencesymbol, symbolic, system, tax, trial, tribunal, truth, verdict, weight, will, wood, wooden

Proposed class action claims that improper fees hurt investors' returns

gavel

Online brokerage firm fined for compliance issues related to complaints, options approvals

Court.

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