Discount brokerages | Investment Executive https://www.investmentexecutive.com/tag/discount-brokerages/ Canada's news source for financial professionals Mon, 12 Jan 2026 20:13:38 +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 Discount brokerages | Investment Executive https://www.investmentexecutive.com/tag/discount-brokerages/ 32 32 Firms falling short at selling complex products: FCA https://www.investmentexecutive.com/news/firms-falling-short-at-selling-complex-products-fca/ Mon, 12 Jan 2026 20:04:00 +0000 https://www.investmentexecutive.com/?p=529167 Risk of retail investor harm from poor controls, disclosure, review finds

The post Firms falling short at selling complex products: FCA appeared first on Investment Executive.

]]> Court approves CIBC trailer fee settlement https://www.investmentexecutive.com/news/court-approves-cibc-trailer-fee-settlement/ Wed, 07 Jan 2026 19:10:02 +0000 https://www.investmentexecutive.com/?p=528849 Class action brought on behalf of full-service clients with funds that paid trailers

The post Court approves CIBC trailer fee settlement appeared first on Investment Executive.

]]> CIRO wants to tear down the barriers to online advice https://www.investmentexecutive.com/news/ciro-wants-to-tear-down-the-barriers-to-online-advice/ Wed, 17 Dec 2025 19:30:33 +0000 https://www.investmentexecutive.com/?p=527997 SRO launches review of policy framework for the provision of advice

The post CIRO wants to tear down the barriers to online advice appeared first on Investment Executive.

]]> Outlook for securities sector is neutral: Fitch https://www.investmentexecutive.com/news/outlook-for-securities-sector-is-neutral-fitch/ Mon, 24 Nov 2025 19:35:08 +0000 https://www.investmentexecutive.com/?p=526169 Market environment remains supportive for 2026, but downside risks persist

The post Outlook for securities sector is neutral: Fitch appeared first on Investment Executive.

]]> ‘Neo’ brokers bring neo risks too: IOSCO https://www.investmentexecutive.com/news/neo-brokers-bring-neo-risks-too-iosco/ Wed, 12 Nov 2025 19:03:30 +0000 https://www.investmentexecutive.com/?p=525233 Fee disclosure, conflicts of interest, consent pose investor protection issues

The post ‘Neo’ brokers bring neo risks too: IOSCO appeared first on Investment Executive.

]]> ESMA finds fund distribution is costly https://www.investmentexecutive.com/news/from-the-regulators/esma-finds-fund-distribution-is-costly/ Thu, 06 Nov 2025 21:28:19 +0000 https://www.investmentexecutive.com/?p=524836 Costs vary by distributor, fund and asset type, regulators conclude

The post ESMA finds fund distribution is costly appeared first on Investment Executive.

]]> Trailer fee class actions allowed to proceed https://www.investmentexecutive.com/news/trailer-fee-class-actions-allowed-to-proceed/ Fri, 24 Oct 2025 14:15:10 +0000 https://www.investmentexecutive.com/?p=523514 Lawsuits involve different investor groups, court finds

The post Trailer fee class actions allowed to proceed appeared first on Investment Executive.

]]> Court orders costs in failed trailer fee class action https://www.investmentexecutive.com/news/from-the-regulators/court-orders-costs-in-failed-trailer-fee-class-action/ Mon, 29 Sep 2025 19:12:32 +0000 https://www.investmentexecutive.com/?p=521420 Effort to sue discount brokers over trailer fees ends with plaintiffs paying

The post Court orders costs in failed trailer fee class action appeared first on Investment Executive.

]]> Investor’s duty to know DIY platform: court https://www.investmentexecutive.com/uncategorized/investors-duty-to-know-diy-platform-court/ Mon, 08 Sep 2025 20:33:41 +0000 https://www.investmentexecutive.com/?p=519418 Small claims ruling against aggrieved investor upheld on appeal

The post Investor’s duty to know DIY platform: court appeared first on Investment Executive.

]]> Cost of TD’s data: between zero and $460 million https://www.investmentexecutive.com/news/from-the-regulators/cost-of-tds-data-between-zero-and-460-million/ Tue, 26 Aug 2025 13:25:17 +0000 https://www.investmentexecutive.com/?p=518379 Court grants injunction in dispute over the return of broker's 180 million records

The post Cost of TD’s data: between zero and $460 million appeared first on Investment Executive.

]]>