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Keyword: Compensation plans

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A new MFDA paper aims to take the mystery out of client vulnerability

OSC corporate finance report aims to aid compliance

IIROC outlined the challenges for firms and regulators in a new report


The regulator found the firm's compensation structure favoured in-house funds


Case claimed extra compensation for selling in-house funds harmed investors

investment concept

The regulator proposes to allow companies to pay up to 15% of annual pay in securities

suspicious client

Regulator recommends studying ban, beefing up disclosure

Wall street sign in New York with American flags and New York Stock Exchange background.

The salary drop tracks with a 17% decline in bonuses

Customer Relationship Management handshake provider and customer flat illustration

There's also growing dissatisfaction with asset-based fees

African american business man using a tactile tablet over white background - Black people

Survey will include small, medium and large firms

handshaking and exchanging contract documents

Agreements allow reps to receive compensation from credit unions for securities-related activities