Keyword: Embedded commissions

155 results found
financial advisor explaining investment plan to couple on laptop at office desk

But regulators are banning DSCs and enhancing regulatory requirements for registrants to avoid situations that place them in a conflict of interest

Most advisors surveyed for this year's Dealers' Report Card were strongly against regulators banning embedded commissions

New lawsuit and SRO proposals could affect CSA’s decision

Piggybank With Eyeglasses And Calculator On Wooden Table, TFSA, RRSP

Although 63.5% of advisors surveyed for the Report Card favour regulators addressing concerns surrounding the use of embedded commissions, opinions were split regarding the right approach: a ban or enhanced transparency

coin stacks with letter dice - fees

The self-regulatory organization hopes to spark a discussion on mutual fund cost reporting

Laughing senior man using laptop computer at home

The self-regulatory organization expects firms to rebate the portion of a mutual fund’s trailing commission that is related to advice

Judge gavel, scales of justice and law books in court

The action against TD Asset Management claims damages of $200 million

OSC draft stament of priorities cover

Regulator pledges to publish rule proposals for the introduction of a best interest standard in the coming year

Businessman analysis the stockmarket on labtop Stock Market Investment Online

The investment industry wants regulators to make a decision on embedded commissions once and for all

After a year of intense debate over a ban on embedded commissions, all eyes are on the CSA