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Keyword: Fee-based accounts

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gavel

Certain clients overcharged, others undercharged, due to recordkeeping glitch

Sliced pumpkin pie above view on blue background. People grabbing slices of cake stock photo

Respondents to FSRA survey had mixed views on how they preferred to pay financial advisors

page loading technology

Digital tools are important to advisors, but often fall short in performance

  • By: Emily Fox
  • August 28, 2023 August 24, 2023
  • 00:08
Picking a dollar

Back-office snafu meant clients didn't get discounts on standard fees

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

The firm agreed to a $157,500 fine and will repay 6,000 affected clients

gavel

SRO fine pales against firm's $32-million remediation plan

compliance puzzle

The SRO provides clarity ahead of new year-end requirements, noting how products, fees and even ESG should be discussed

suspicious client

ASIC unveils guidance for the industry's looming advice-fee reforms

advisor compensation

Advisors are largely happy with their grids, even with firms turning more attention to fee-based platforms

Partners discussing new plans

Annual PriceMetrix report provides insights for advisors