Sentences with phrase «investment dealer charges»
A: Just about every investment dealer charges fees to transfer registered accounts, such as RRSPs and TFSAs.
http://www.moneysense.ca/ Not exact matches
The Securities and Exchange Commission today announced that a Minnesota - based broker - dealer and investment adviser has agreed to settle charges for recommending and selling higher - fee mutual fund shares to retail retirement account customers and for failing to provide sales charge waivers.
The Securities and Exchange Commission today announced that a Minnesota - based broker - dealer and investment adviser has agreed to settle charges for recommending and selling higher - fee mutual fund shares to retail retirement account customers and for failing to provide sales charge waivers.
That's different from a mutual fund, where broker - dealers effectively are required by Section 22 (d) of the Investment Company Act of 1940 to impose sales charges in accordance with the fund's prospectus.
If you believe there are cumulative quantity discount eligible shares that can be combined with your current purchase to achieve a sales charge breakpoint (for example, shares held in a different broker - dealer's brokerage account or with a bank or an investment advisor), it is your responsibility to specifically identify those shares to your financial advisor at the time of your purchase (including at the time of any future purchase).
This trio of fund companies generally don't charge any trailing commissions (the 1 % fee mutual fund investors typically pay their advisers or dealers each year they own an investment).
The financial service industry charges layers of fees that pay financial planners, investment advisors, money managers, broker / dealers, and custodians.
An account offered by Investment Dealers whereby investors are charged an annual management fee based on the value of invested assets.
An account offered by investment dealers whereby investors are charged an annual management fee based on the value of invested assets.
Either dealing with a broker dealer, or their own RIA, registered investment advisor, where they're charging a fee to manage assets.