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Keyword: Embedded commissions

147 results found
coin stacks with letter dice - fees

Australia, the U.S. and the Netherlands top the rankings

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The deferred sales charge structure was created to preserve generous commissions for mutual fund sales

Diverse Large Group Of People Multiethnic Group

Clients who meet eligibility requirements will be automatically switched into series with preferred pricing

  • By: IE Staff
  • January 28, 2019 July 1, 2019
  • 10:15
closeup portrait, dumbfounded, flabbergasted man reading tablet

A summary of investor comments on CSA's proposed amendments to National Instrument 81-105

  • By: IE Staff
  • January 11, 2019 September 14, 2019
  • 15:53
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The firm admitted it failed to prevent the double charging of clients who held mutual funds that paid embedded fees within fee-based accounts

Gavel and judgement on desk

The lawsuit has been filed on behalf of discount brokerage clients who allegedly paid excessive management fees on mutual mutuals

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MFDA publishes investor bulletin on mutual fund fees


Similar cases have been filed against 1832 Asset Management and TD Asset Management

guidelines and regulations binders

The move is intended to reduce regulatory uncertainty following the CSA’s plan to propose rule changes

Bank of Nova Scotia, Toronto, On

The announcement follows a similar proposal against TD Asset Management launched in April and the CSA’s proposal to ban mutual fund firms from paying discount brokerages trailer fees