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The two firms plan to expand AlphaDelta’s suite of actively managed investment products

  • July 25, 2018 July 25, 2018
  • 11:25
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Canadian RI mutual funds are asking corporations to step up on climate change, gender diversity, indigenous rights, opioid accountability and other sustainability issues this proxy season

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Following several high-profile administrative penalties for “excessive” spending on promotional activities and non-monetary benefits, there’s little clarity from regulators as to what’s acceptable

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OSC investigation reveals firm violated sales rule by overspending on gifts for reps and conference attendees

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Regulator alleges investment fund manager violated mutual fund sales practices rule

  • April 20, 2018 April 20, 2018
  • 11:50
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The mutual fund company has agreed to pay more than $1 million in penalties and costs for violating sales practices rules

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New information aims to help investors determine whether a higher-cost, actively managed mutual fund fits their investment goals better than a lower-cost alternative

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Regulator alleges investment fund manager violated mutual fund sales practices rules

Mutual funds launch could make Vanguard a formidable competitor

CSA report: divisions remain over “best interest”

Regional managers are overseeing the reassignment of clients to veteran advisors following the dismissal of approximately 400 primarily younger advisors