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Keyword: Discount brokerages

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Regulators to explore the regulation, provision of advice online

investor protection

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


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

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

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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

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Proposed class action claims that improper fees hurt investors' returns


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


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