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Keyword: Trailer fee

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Checking monthly activities and appointments at the office

The exemptions were previously slated to end on Nov. 30

Judge makes ruling

Key issue of whether trailer payments were improper to be decided before determining which investors are entitled to damages

Portrait of young business man and woman sitting in cafe and discussing contract. Diverse businesspeople meeting in hotel lobby reading documents.

The industry has until 2026 to adopt the requirements

court gavel regulatory

Ontario court rules that discount brokers' receipt of trailing commissions was not considered illegal before the June 2022 ban

photo of hands holding pen under document and pressing calculator buttons

Temporary relief aims to help firms implement new rules on June 1

Wooden gavel used by a judge or auctioneer

The firm agreed to a $157,500 fine and will repay 6,000 affected clients

Justitia, the goddess of justice

An Ontario court rejected a motion to appeal the certification decision in a BMO funds case

Magnifying glass highlighting investment stock quotes in business section of newspaper.

The firm also announced various risk-rating and fund-names changes

  • By: Staff
  • July 27, 2021 July 27, 2021
  • 17:00

The firm is also renaming certain mutual funds

  • By: Staff
  • July 14, 2021 July 14, 2021
  • 17:30
Wooden gavel used by a judge or auctioneer

A client eligible for no-loads funds was instead sold a DSC fund to boost the rep's compensation