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Keyword: Embedded commissions

152 results found
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Regulators objected to applying "best execution" duties to fund selection


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


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

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

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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
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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 October 17, 2019
  • 10:15
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A summary of investor comments on CSA's proposed amendments to National Instrument 81-105

  • By: IE Staff
  • January 11, 2019 October 17, 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