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Keyword: Mutual fund dealers

132 results found
man working on laptop

CIRO proposes personal corporations for reps

SRO consults on options for resolving long-standing regulatory disparity

magnifying glass

How dealers are managing advisor fees as costs rise

Firms are puzzling out how to balance significant overhead costs with advisor support

  • By: Katie Keir
  • November 21, 2023 November 21, 2023
  • 10:10
penalty card

Complaint volumes surging, CIRO reports

Collections plunge as hefty sanctions are handed out

Patron saint of investor protection passes away

Groundbreaking securities lawyer, Glorianne Stromberg, dies

merger

CIRO takes step toward consolidated dealer rules

New SRO aims to harmonize requirements for fund dealers and investment dealers

Dispute at desk

With complaints soaring, OBSI fees set to climb

Banks to bear the brunt of fee increase, as case volumes jump

Quebec and Canadian Flags`

CIRO to step up fund dealer oversight in Quebec

AMF, provincial government approve delegation of powers to SRO

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