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Also, fewer advisors left the advisory channel as the ban's effects faded

  • By: IE Staff
  • January 11, 2023 January 11, 2023
  • 15:12

Proposal would eliminate regulatory arbitrage between seg funds and mutual funds

gavel

Regulator sets out draft priorities for fiscal 2024

financial worker analyzing business data and working with tablet computer

Positive industry trends were the most prominent factors

meeting room interior with table, raw of chairs and block-notes,decorated in black and white tones

Rep fined after switching a nonagenarian's account into a DSC fund

Businessman with yellow insurance umbrella looking over city

Some advisors have moved from DSCs to seg funds with chargebacks

Man walks the ladder of success and reaches the top

Editorial: Closing the gap between insurance and securities rules removes a tangible risk for clients

  • By: IE Staff
  • February 14, 2022 February 18, 2022
  • 09:12
Closed sign in a shop showroom with reflections

CCIR, CISRO consultation will also consider outright ban on upfront commissions

a man interrupts a cascade of falling dominoes

Investor advocates remain concerned that deferred sales charge mutual funds are still being sold up until the June 1 ban

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The firm is also renaming certain mutual funds and eliminating the O series of nine funds

  • By: IE Staff
  • July 14, 2021 July 14, 2021
  • 17:31