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Keyword: Embedded commissions

151 results found
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

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
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 October 17, 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