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Keyword: Embedded commissions

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angry client meeting

After receiving enhanced statements, clients may have questions, FSRA says

Magnifying glass

Proposal would require seg fund disclosure of embedded costs


Fourth case certified involving funds paying trailers to discount brokers


Firms were allowed to collect trailers before the CSA ban, court rules


Case against 1832 Asset Management L.P. is the latest to secure certification

Big binders

Decision on tougher investor protection measures coming by end of 2025

Sliced pumpkin pie above view on blue background. People grabbing slices of cake stock photo

Respondents to FSRA survey had mixed views on how they preferred to pay financial advisors

notepad, laptop and coffee cup on wood table

The exemptions were previously slated to end on Nov. 30

client meeting

FCA says there's work to be done in terms of ensuring value and enhancing competition

Judge makes ruling

Key issue of whether trailer payments were improper to be decided before determining which investors are entitled to damages