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Keyword: Embedded commissions

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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

Conflicted graph

Regulators objected to applying "best execution" duties to fund selection

Court.

Ontario court rules that discount brokers' receipt of trailing commissions was not considered illegal before the June 2022 ban

gavel

Court denies leave to appeal certification decision in a BMO funds case

Couple getting financial retirement advice from consultant at home

The CSA warns the industry against abuses as bans loom for trailers, DSCs

Upset confused businessman looking at laptop screen at workplace in modern office. Stressed young CEO at work desk looking at computer in disbelief about failing report statistics, bad mistake made.

The CSA plans to ban the payment of trailer fees to online brokerages later this year

  • By: IE Staff
  • January 17, 2020 January 22, 2020
  • 17:00
coin stacks with letter dice - fees

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

happy young couple discussing with a financial agent

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