Mutual fund dealers | Investment Executive https://www.investmentexecutive.com/tag/fund-dealers/ Canada's news source for financial professionals Thu, 29 Jan 2026 19:53:10 +0000 en-US hourly 1 https://wordpress.org/?v=6.9 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Mutual fund dealers | Investment Executive https://www.investmentexecutive.com/tag/fund-dealers/ 32 32 CRA info about GST/HST on trailing commissions to drop in February, March https://www.investmentexecutive.com/news/cra-info-about-gst-hst-on-trailing-commissions-to-drop-in-february-march/ Thu, 29 Jan 2026 19:53:10 +0000 https://www.investmentexecutive.com/?p=530596 For dealers, preparing for compliance will include reviewing agreements with fund managers

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]]> CIRO’s fund rep fee hike approved https://www.investmentexecutive.com/news/ciros-fund-rep-fee-hike-approved/ Thu, 29 Jan 2026 19:27:17 +0000 https://www.investmentexecutive.com/?p=530624 New $300 fee per rep set to take effect April 1

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]]> GST/HST on mutual fund trailers comes with compliance costs, audit risk https://www.investmentexecutive.com/news/gst-hst-on-mutual-fund-trailers-comes-with-compliance-costs-audit-risk/ Fri, 23 Jan 2026 21:02:28 +0000 https://www.investmentexecutive.com/?p=530171 Firms weigh in on what CRA’s new stance on trailing commissions means for dealers, advisors and fund managers

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]]> Trailing commissions to be subject to GST/HST: tax interpretation https://www.investmentexecutive.com/news/industry-news/trailing-commissions-to-be-subject-to-gst-hst-tax-interpretation/ Thu, 22 Jan 2026 14:43:50 +0000 https://www.investmentexecutive.com/?p=529981 Dealers, advisors brace for July 1 implementation deadline

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]]> CIRO wants to tear down the barriers to online advice https://www.investmentexecutive.com/news/ciro-wants-to-tear-down-the-barriers-to-online-advice/ Wed, 17 Dec 2025 19:30:33 +0000 https://www.investmentexecutive.com/?p=527997 SRO launches review of policy framework for the provision of advice

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]]> Industry falling short on CFR compliance: CSA, CIRO https://www.investmentexecutive.com/news/from-the-regulators/industry-falling-short-on-cfr-compliance-csa-ciro/ Wed, 10 Dec 2025 17:50:45 +0000 https://www.investmentexecutive.com/?p=527418 Review documents failings in meeting KYC, KYP, suitability requirements

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]]> CIRO to issue final dealer rules in February https://www.investmentexecutive.com/news/ciro-to-issue-final-dealer-rules-in-february/ Wed, 03 Dec 2025 22:32:17 +0000 https://www.investmentexecutive.com/?p=526952 Final consultation on merged dealer rules will get 120-day comment period

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]]> Manitoba regulator upholds CIRO enforcement rulings https://www.investmentexecutive.com/news/manitoba-regulator-upholds-ciro-enforcement-rulings/ Fri, 28 Nov 2025 20:59:28 +0000 https://www.investmentexecutive.com/?p=526585 MSC finds no error with panel's findings against former fund rep

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]]> Trade, geopolitics loom large in OSC’s agenda https://www.investmentexecutive.com/news/trade-geopolitics-loom-large-in-oscs-agenda/ Fri, 28 Nov 2025 19:56:55 +0000 https://www.investmentexecutive.com/?p=526550 Regulator publishes draft priorities, highlighting competitive concerns

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]]> ESMA finds fund distribution is costly https://www.investmentexecutive.com/news/from-the-regulators/esma-finds-fund-distribution-is-costly/ Thu, 06 Nov 2025 21:28:19 +0000 https://www.investmentexecutive.com/?p=524836 Costs vary by distributor, fund and asset type, regulators conclude

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