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Keyword: Trailer fee

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Financial Advisor Assisting Senior Couple

The OSC's research challenges the justification for DSCs and trailing commissions

  • By: Staff
  • July 29, 2019 July 29, 2019
  • 15:27
courtroom gavel

The hearing involved two clients over age 90 sold DSC funds with seven-year redemption schedules

  • By: Staff
  • May 17, 2019 May 17, 2019
  • 13:17

Expert insights for advisors with commissions-based books

Lawyer

RBC, BMO and National Bank divisions are the latest firms to be named

  • By: Staff
  • February 4, 2019 February 4, 2019
  • 14:01
Finger art of people during quarrel

In submissions to the CSA, investors are critical of regulators and advisors

Businessman checking reported profits on the paper and laptop.

Find out what the next steps are

  • By: Staff
  • November 21, 2018 November 21, 2018
  • 15:15
Multiethnic couple considering investment real estate purchase consulting realtor, interracial family listening attentively to mortgage broker thinking of getting bank loan for buying new home house

Educational material coincides with world investor week

  • By: Staff
  • October 1, 2018 October 1, 2018
  • 12:04
close up, business man or lawyer accountant working on accounts using a calculator and writing on documents

Find out what the regulators said at IFIC's annual conference

Senior and mature man sitting on yacht using laptop, smiling

CARP letter defends "overdue investor protections"

  • By: Staff
  • September 24, 2018 September 24, 2018
  • 16:23
Gavel

Lawsuit cites lack of advice provided by discount brokers