Compensation plans | Investment Executive https://www.investmentexecutive.com/tag/compensation-plans/ Canada's news source for financial professionals Wed, 12 Nov 2025 21:35:29 +0000 en-US hourly 1 https://wordpress.org/?v=6.8.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Compensation plans | Investment Executive https://www.investmentexecutive.com/tag/compensation-plans/ 32 32 Wealth firms can do better on tech, advanced planning https://www.investmentexecutive.com/newspaper_/advisors-report-card/wealth-firms-can-do-better-on-tech-advanced-planning/ Thu, 13 Nov 2025 19:11:19 +0000 https://www.investmentexecutive.com/?p=524876 Advisors surveyed for 2025 also singled out compensation as an area requiring improvement

The post Wealth firms can do better on tech, advanced planning appeared first on Investment Executive.

]]> CIRO awaiting CRA feedback on advisor corporations https://www.investmentexecutive.com/news/ciro-awaiting-cra-feedback-on-advisor-corporations/ Wed, 29 Oct 2025 17:34:55 +0000 https://www.investmentexecutive.com/?p=523998 SRO crafting model to allow reps to use personal corporations

The post CIRO awaiting CRA feedback on advisor corporations appeared first on Investment Executive.

]]> Retail bank advisors identified pay as a key motivator https://www.investmentexecutive.com/in-depth_/report-cards/retail-bank-advisors-identified-pay-as-a-key-motivator/ Tue, 21 Oct 2025 13:59:28 +0000 https://www.investmentexecutive.com/?p=523144 Paying the bills and growing their careers were priorities for the Big Six’s branch planners

The post Retail bank advisors identified pay as a key motivator appeared first on Investment Executive.

]]> ASIC seeks tougher guidance on conflicts https://www.investmentexecutive.com/news/from-the-regulators/asic-seeks-tougher-guidance-on-conflicts/ Thu, 31 Jul 2025 10:00:00 +0000 https://www.investmentexecutive.com/?p=516428 Regulator proposes first update to conflict compliance in over 20 years

The post ASIC seeks tougher guidance on conflicts appeared first on Investment Executive.

]]> OSC review flags personal corporation concerns https://www.investmentexecutive.com/news/from-the-regulators/osc-review-flags-personal-corporation-concerns/ Thu, 24 Jul 2025 20:25:20 +0000 https://www.investmentexecutive.com/?p=516003 Compliance division's annual report details exam findings at directly regulated firms

The post OSC review flags personal corporation concerns appeared first on Investment Executive.

]]> FCA finds failings at smaller firms https://www.investmentexecutive.com/news/from-the-regulators/fca-finds-failings-at-smaller-firms/ Thu, 08 May 2025 18:00:27 +0000 https://www.investmentexecutive.com/?p=509324 U.K. regulator's review IDs weaknesses in high-risk product sales, conflicts and conduct standards

The post FCA finds failings at smaller firms appeared first on Investment Executive.

]]> Wall Street bonuses hit record level in 2024 https://www.investmentexecutive.com/news/research-and-markets/wall-street-bonuses-hit-record-level-in-2024/ Thu, 27 Mar 2025 21:01:30 +0000 https://www.investmentexecutive.com/?p=505701 Outlook uncertain after bonus pool reaches record heights

The post Wall Street bonuses hit record level in 2024 appeared first on Investment Executive.

]]> U.K. regulators to ease curbs on bankers’ bonuses https://www.investmentexecutive.com/news/from-the-regulators/u-k-regulators-to-ease-curbs-on-bankers-bonuses/ Tue, 26 Nov 2024 19:21:06 +0000 https://www.investmentexecutive.com/?p=497463 Effort aims to boost financial sector growth by loosening pay restrictions

The post U.K. regulators to ease curbs on bankers’ bonuses appeared first on Investment Executive.

]]> Breaking up is hard to do, Part 1 https://www.investmentexecutive.com/inside-track_/ellen-bessner/breaking-up-is-hard-to-do-part-1/ Mon, 11 Nov 2024 21:22:17 +0000 https://www.investmentexecutive.com/?p=496501 Risks when partnering with other financial advisors

The post Breaking up is hard to do, Part 1 appeared first on Investment Executive.

]]> FCA sanctions U.K. bank over fair treatment failings https://www.investmentexecutive.com/news/from-the-regulators/fca-sanctions-u-k-bank-over-fair-treatment-failings/ Thu, 10 Oct 2024 17:34:07 +0000 https://www.investmentexecutive.com/?p=494439 Bank failed in its dealings with customers facing financial distress

The post FCA sanctions U.K. bank over fair treatment failings appeared first on Investment Executive.

]]>