Investors were misled about fund's trading and holdings, U.S. district court judge says
Clients missed out on potential tax benefits after firm failed to alert them to changes in automated service
Proposed class action claims that improper fees hurt investors' returns
Regulators objected to applying "best execution" duties to fund selection
Companies breached duty of care to investors but not fiduciary duties, decision says
Conduct standards, crypto and cybersecurity feature in exam plans for 2023
B.C. court finds unregistered, unqualified advisor must be held to industry standards
Tougher standards aim to improve competition and results for customers
Best interest rules and fiduciary duties should produce similar outcomes, U.S. regulator says
Majority dismisses appeal, rejects proposed class action