Mutual fund dealers | Investment Executive https://www.investmentexecutive.com/tag/fund-dealers/ Canada's news source for financial professionals Fri, 27 Feb 2026 21:50:47 +0000 en-US hourly 1 https://wordpress.org/?v=6.9.4 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 Latest OBSI review kicks off https://www.investmentexecutive.com/news/from-the-regulators/latest-obsi-review-kicks-off/ Mon, 02 Mar 2026 09:00:16 +0000 https://www.investmentexecutive.com/?p=532892 New evaluation comes amid regulators' ongoing reform work

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]]> Clients’ questions about CIRO data breach fall to advisors, dealers https://www.investmentexecutive.com/news/clients-questions-about-ciro-data-breach-fall-to-advisors-dealers/ Tue, 17 Feb 2026 18:31:19 +0000 https://www.investmentexecutive.com/?p=531656 “We can’t answer the questions that clients are asking,” dealer says

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]]> CIRO ready to end dual-dealer model https://www.investmentexecutive.com/news/ciro-ready-to-end-dual-dealer-model/ Thu, 12 Feb 2026 19:00:53 +0000 https://www.investmentexecutive.com/?p=531585 SRO proposes consolidated rulebook, alongside end to dual registration

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]]> GST/HST on trailing commissions to be enforced July 1: CRA notice https://www.investmentexecutive.com/news/industry-news/gst-hst-on-trailing-commissions-to-be-enforced-july-1-cra-notice/ Tue, 10 Feb 2026 21:54:00 +0000 https://www.investmentexecutive.com/?p=531432 Date not reasonable for industry implementation, tax practitioner says

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]]> 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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