Embedded commissions | Investment Executive https://www.investmentexecutive.com/tag/embedded-commissions/ Canada's news source for financial professionals Fri, 24 Oct 2025 14:15:10 +0000 en-US hourly 1 https://wordpress.org/?v=6.8.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Embedded commissions | Investment Executive https://www.investmentexecutive.com/tag/embedded-commissions/ 32 32 Trailer fee class actions allowed to proceed https://www.investmentexecutive.com/news/trailer-fee-class-actions-allowed-to-proceed/ Fri, 24 Oct 2025 14:15:10 +0000 https://www.investmentexecutive.com/?p=523514 Lawsuits involve different investor groups, court finds

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]]> Court orders costs in failed trailer fee class action https://www.investmentexecutive.com/news/from-the-regulators/court-orders-costs-in-failed-trailer-fee-class-action/ Mon, 29 Sep 2025 19:12:32 +0000 https://www.investmentexecutive.com/?p=521420 Effort to sue discount brokers over trailer fees ends with plaintiffs paying

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]]> ASIC seeks tougher guidance on conflicts https://www.investmentexecutive.com/news/from-the-regulators/asic-seeks-tougher-guidance-on-conflicts/ Thu, 31 Jul 2025 10:00:00 +0000 https://www.investmentexecutive.com/?p=516428 Regulator proposes first update to conflict compliance in over 20 years

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]]> CIRO’s CRM3 rules get CSA approval https://www.investmentexecutive.com/news/from-the-regulators/ciros-crm3-rules-get-csa-approval/ Thu, 03 Jul 2025 18:29:38 +0000 https://www.investmentexecutive.com/?p=514301 Expanded fund reporting requirements to take effect in 2026

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]]> Ontario approves TCR rule for seg funds https://www.investmentexecutive.com/news/from-the-regulators/ontario-approves-tcr-rule-for-seg-funds/ Mon, 09 Jun 2025 15:54:23 +0000 https://www.investmentexecutive.com/?p=512097 Enhanced fund reporting expected to take effect in 2026

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]]> FCA finds failings at smaller firms https://www.investmentexecutive.com/news/from-the-regulators/fca-finds-failings-at-smaller-firms/ Thu, 08 May 2025 18:00:27 +0000 https://www.investmentexecutive.com/?p=509324 U.K. regulator's review IDs weaknesses in high-risk product sales, conflicts and conduct standards

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]]> OSC rule codifies trailer fee relief https://www.investmentexecutive.com/news/from-the-regulators/osc-rule-codifies-trailer-fee-relief/ Thu, 03 Apr 2025 18:57:32 +0000 https://www.investmentexecutive.com/?p=506252 Measure allows trailer rebates to facilitate compliance with ban on paying trailers to discount brokers

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]]> Closing the gap between mutual, seg fund regulation https://www.investmentexecutive.com/news/from-the-regulators/closing-the-gap-between-mutual-seg-fund-regulation/ Wed, 08 Jan 2025 21:02:41 +0000 https://www.investmentexecutive.com/?p=499805 CCIR, CISRO propose new guidance on the design, distribution of seg funds

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]]> Ontario court approves trailer fee class action deal https://www.investmentexecutive.com/news/from-the-regulators/ontario-court-approves-trailer-fee-class-action-deal/ Wed, 11 Dec 2024 18:58:21 +0000 https://www.investmentexecutive.com/?p=498371 TDAM to pay $70.25 million to settle class action over the payment of trailers to discount brokers

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]]> TD agrees to settle trailer fee class action https://www.investmentexecutive.com/news/from-the-regulators/td-agrees-to-settle-trailer-fee-class-action/ Wed, 09 Oct 2024 18:02:24 +0000 https://www.investmentexecutive.com/?p=494329 Claim alleged investors were harmed by mutual funds paying trailers to discount brokers

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