Fee-based accounts – Investment Executive https://uat-phoenix.investmentexecutive.com Canada's news source for financial professionals Fri, 07 Feb 2025 16:37:55 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://uat-phoenix.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Fee-based accounts – Investment Executive https://uat-phoenix.investmentexecutive.com 32 32 Stable outlook for U.S. retail brokers: Moody’s https://uat-phoenix.investmentexecutive.com/news/research-and-markets/stable-outlook-for-u-s-retail-brokers-moodys/ Fri, 07 Feb 2025 16:37:55 +0000 https://www.investmentexecutive.com/?p=501984 Demand for advice, strong markets to drive growth in client assets

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]]> Edward Jones to pay US$17 million in NASAA settlement https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/edward-jones-to-pay-us17-million-in-nasaa-settlement/ Thu, 09 Jan 2025 14:30:44 +0000 https://www.investmentexecutive.com/?p=499847 Fund investors paid front-end loads, moved into fee-based accounts sooner than expected, regulators alleged

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]]> Advisors still expect support for their fee-based business https://uat-phoenix.investmentexecutive.com/newspaper_/dealers-report-card/advisors-still-expect-support-for-their-fee-based-business/ Fri, 13 Sep 2024 12:52:00 +0000 https://www.investmentexecutive.com/?p=492360 When it comes to educational tools, advisors’ needs vary across firms

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]]> HSBC fined over DIY client fee errors https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/hsbc-fined-over-diy-client-fee-errors/ Thu, 04 Jan 2024 20:49:50 +0000 https://www.investmentexecutive.com/?p=478022 Certain clients overcharged, others undercharged, due to recordkeeping glitch

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]]> Ontario clients split on compensation in seg funds: poll https://uat-phoenix.investmentexecutive.com/news/research-and-markets/ontario-clients-split-on-compensation-in-seg-funds-poll/ Fri, 13 Oct 2023 17:34:32 +0000 https://www.investmentexecutive.com/?p=473186 Respondents to FSRA survey had mixed views on how they preferred to pay financial advisors

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]]> Fee-based advisors cite tech challenges https://uat-phoenix.investmentexecutive.com/newspaper_/dealers-report-card/fee-based-advisors-cite-tech-challenges/ Mon, 28 Aug 2023 04:08:00 +0000 https://www.investmentexecutive.com/?p=470326 Digital tools are important to advisors, but often fall short in performance

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]]> SEC sanctions investor overcharging https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/sec-sanctions-investor-overcharging/ Fri, 25 Aug 2023 16:17:23 +0000 https://www.investmentexecutive.com/?p=470706 Back-office snafu meant clients didn't get discounts on standard fees

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]]> Canaccord settles IIROC client overcharging case https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/canaccord-settles-iiroc-client-overcharging-case/ Wed, 05 Jan 2022 22:22:27 +0000 https://www.investmentexecutive.com/?p=436869 The firm agreed to a $157,500 fine and will repay 6,000 affected clients

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]]> Scotia Capital settles fee fumble case https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/scotia-capital-settles-fee-fumble-case/ Fri, 17 Dec 2021 20:44:16 +0000 https://www.investmentexecutive.com/?p=436347 SRO fine pales against firm's $32-million remediation plan

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]]> As CFRs loom, IIROC offers guidance https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/as-cfrs-loom-iiroc-offers-guidance/ Fri, 17 Dec 2021 20:00:44 +0000 https://www.investmentexecutive.com/?p=436334 The SRO provides clarity ahead of new year-end requirements, noting how products, fees and even ESG should be discussed

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