Discount brokerages – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Wed, 17 Apr 2024 18:18:24 +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 Discount brokerages – Investment Executive https://www.investmentexecutive.com 32 32 Tech roundup: U.S. software firm releases retirement planning tools https://www.investmentexecutive.com/news/industry-news/tech-roundup-u-s-software-firm-releases-retirement-planning-tools/ Wed, 17 Apr 2024 18:18:24 +0000 https://www.investmentexecutive.com/?p=484192 Also, Webull launches desktop platform

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]]> Margin call claim must go to trial https://www.investmentexecutive.com/news/from-the-regulators/margin-call-claim-must-go-to-trial/ Wed, 27 Mar 2024 18:29:33 +0000 https://www.investmentexecutive.com/?p=482834 Question of whether client used stop loss orders requires hearing, court rules

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]]> BCSC funds FAIR Canada research on DIY investors https://www.investmentexecutive.com/news/from-the-regulators/bcsc-funds-fair-canada-research-on-diy-investors/ Thu, 15 Feb 2024 17:35:31 +0000 https://www.investmentexecutive.com/?p=480558 The funding comes from enforcement sanctions

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]]> Trailer fee class action gets green light https://www.investmentexecutive.com/news/from-the-regulators/trailer-fee-class-action-gets-green-light/ Tue, 30 Jan 2024 20:18:44 +0000 https://www.investmentexecutive.com/?p=479481 Fourth case certified involving funds paying trailers to discount brokers

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]]> Proposed trailer fee class action denied again https://www.investmentexecutive.com/news/from-the-regulators/proposed-trailer-fee-class-action-denied-again/ Fri, 26 Jan 2024 19:33:22 +0000 https://www.investmentexecutive.com/?p=479355 Firms were allowed to collect trailers before the CSA ban, court rules

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]]> HSBC fined over DIY client fee errors https://www.investmentexecutive.com/news/from-the-regulators/hsbc-fined-over-diy-client-fee-errors/ Thu, 04 Jan 2024 20:49:50 +0000 https://www.investmentexecutive.com/?p=478022 Certain clients overcharged, others undercharged, due to recordkeeping glitch

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]]> Brokerage app Webull launches in Canada https://www.investmentexecutive.com/news/industry-news/brokerage-app-webull-launches-in-canada/ Tue, 02 Jan 2024 14:00:48 +0000 https://www.investmentexecutive.com/?p=477873 Discount brokerage offers Canadian and U.S. equities

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]]> Court certifies another trailer-fee class action https://www.investmentexecutive.com/news/from-the-regulators/court-certifies-another-trailer-fee-class-action/ Wed, 20 Dec 2023 22:25:00 +0000 https://www.investmentexecutive.com/?p=477702 Case against 1832 Asset Management L.P. is the latest to secure certification

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]]> OSC priorities include lifting limitations on advice https://www.investmentexecutive.com/news/from-the-regulators/osc-priorities-include-lifting-limitations-on-advice/ Thu, 16 Nov 2023 20:44:05 +0000 https://www.investmentexecutive.com/?p=475492 Regulators to explore the regulation, provision of advice online

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]]> CIRO’s investor office sets broad agenda https://www.investmentexecutive.com/news/from-the-regulators/ciros-investor-office-sets-broad-agenda/ Tue, 14 Nov 2023 14:01:38 +0000 https://www.investmentexecutive.com/?p=475232 Group to focus on investor-advisor relationships, complaints, suitability

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