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Keyword: Mutual fund dealers

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Wooden blocks with percentage sign and arrow up, financial growth, interest rate increase, inflation concept

With costs projected to increase 9% in fiscal 2024, CIRO’s fees are also heading higher

Fees for investment dealers to rise 6.4%, annual report says

Flat Illustration concept customer rating on tablets

CIRO plans industry-wide client research project

SRO to expand former MFDA project to all dealers in 2024

Blackboard rating

Most firms falling short in conflict compliance

Regulators found firms are failing to identify and manage conflicts in clients' best interests

open door business

Thinking of leaving your dealer? Here’s what to consider

Protect your business, reputation and clients by knowing your rights and obligations

Focus on Mutual Funds Special Report

Mutual fund chargebacks to face CSA scrutiny

Conflict of interest concerns spark regulators' review

Compliance Legal Rule Compliancy Conformity Concept

Key legal and regulatory issues to heed

Follow these tips to protect your licence and reputation

Stacked white books on rules and regulations

CIRO tackling array of high-profile policy challenges

Commission structures, account transfer standards and dual registration are all in the works

SRO asks dealers to upvote its new name and look

New branding would replace existing logos by the end of 2024

Manulife head office building in Toronto, Canada. Manulife is a Canadian multinational insurance company.

How Manulife Securities-Fidelity deal signals a larger trend

Fidelity Clearing Canada will provide its uniFide back-office technology to Manulife Securities

advisor client meeting

Investors in “uneasy relationship” with advisors, study shows

FAIR Canada research finds investors worry about fees and suitability, and have low faith in regulatory protections