Home Trailer fee

Keyword: Trailer fee

36 results found
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

Businessman working on Desk office business

New rules coming into effect June 30 require advisors to address material conflicts

gavel on a wooden bench

The Ontario Divisional Court has rejected TDAM’s leave to appeal an earlier ruling

  • By: Staff
  • October 9, 2020 October 9, 2020
  • 10:27
Cut purple ribbon

Both funds have low risk ratings

  • By: Staff
  • July 20, 2020 July 20, 2020
  • 11:26