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redemptions

The companies, products and regulatory developments shaping the broker industry.

Sprott gained assets despite withdrawals—then lost 9% of AUM in October

Sprott’s filings record third-quarter net redemptions and a rising September AUM balance, followed by a $5.2bn fall before the end of October: valuation and client flows are different stories.

8 Nov 2026Analysis8 min read

Products & pricing

DTCC changes redemption-event templates from 6 November ahead of AnnounceDirect transition

A new DTCC redemption-events submission template takes effect as the post-trade utility prepares a phased AnnounceDirect migration without immediately ending legacy acceptance.

6 Nov 2026News3 min read