Home Embedded commissions

Keyword: Embedded commissions

146 results found
happy young couple discussing with a financial agent

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 April 15, 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 April 6, 2019
  • 15:53
Closeup of mallet being hit on stacked coins at table in courtroom

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

stock market world economy abstract

MFDA publishes investor bulletin on mutual fund fees

CIBC HQ

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

senior couple sitting at table with financial advisor

Industry groups and investor advocates agreed on some of the proposed rules, but opinions were divided on the decision to allow embedded commissions to remain in place