Discount brokerages | Investment Executive https://www.investmentexecutive.com/tag/discount-brokerages/ Canada's news source for financial professionals Mon, 24 Nov 2025 19:35:08 +0000 en-US hourly 1 https://wordpress.org/?v=6.8.3 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 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

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]]> ‘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

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]]> 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

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]]> 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

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]]> 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

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]]> 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

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]]> 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

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]]> CIRO proposes new guidance for DIY investing https://www.investmentexecutive.com/news/from-the-regulators/ciro-proposes-new-guidance-for-diy-investing/ Tue, 12 Aug 2025 13:00:00 +0000 https://www.investmentexecutive.com/?p=517314 SRO would allow discount brokers to boost communication with investors

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]]> Online trading firm settles CIRO allegations https://www.investmentexecutive.com/news/from-the-regulators/online-trading-firm-settles-ciro-allegations/ Tue, 27 May 2025 18:51:55 +0000 https://www.investmentexecutive.com/?p=510700 New firm failed to adequately review trading, client comms, SRO alleged

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]]> CIRO pushes retail data project to 2027 https://www.investmentexecutive.com/news/from-the-regulators/ciro-pushes-retail-data-project-to-2027/ Tue, 15 Apr 2025 10:00:57 +0000 https://www.investmentexecutive.com/?p=507190 Effort to gain insight on dealers' clients will seek data from year-end 2026

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