Client

FAIR Canada blasts banks for trimming shelves FAIR Canada blasts banks for trimming shelves

Industry

FAIR Canada blasts banks for trimming shelves

The advocacy group calls for action to preserve competition and protect investors

By James Langton |September 15, 2021

2 min read

Firms waived DSCs for hard-hit investors during Covid-19 Firms waived DSCs for hard-hit investors during Covid-19

Industry

Firms waived DSCs for hard-hit investors during Covid-19

Investor advocates remain concerned that deferred sales charge mutual funds are still being sold up until the June 1 ban

By Michelle Schriver |September 8, 2021

5 min read

Two firms refused to compensate clients last year, report says Fallback Image Decorative pattern

Industry

Two firms refused to compensate clients last year, report says

OBSI’s Joint Regulators Committee said client compensation has fallen $1.3 million short of the recommended payout over three years

By Mark Burgess |August 6, 2021

2 min read

U.S. regulator’s new challenge: educating rookie investors Fallback Image Decorative pattern

Industry

U.S. regulator’s new challenge: educating rookie investors

FINRA seeks input on reaching meme stock traders and other novices

By James Langton |June 30, 2021

2 min read