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Keyword: DSC mutual funds

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

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Some advisors have moved from DSCs to seg funds with chargebacks

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

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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
compliance

A client eligible for no-loads funds was instead sold a DSC fund to boost the rep's compensation

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The move will officially retire CI’s legacy boutique investment brands

  • By: IE Staff
  • June 24, 2021 June 24, 2021
  • 15:04
suspicious client

Regulators are granting relief from certain CFR requirements to allow DSC sales until a ban takes effect

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The regulator has adopted rule changes to end DSCs by June 2022