Agreements allow reps to receive compensation from credit unions for securities-related activities
U.S. regulator adopts rules to enhance transparency and oversight of alternative trading systems
The recommendations seek to assist regulators’ oversight of the effectiveness of compensation tools in addressing misconduct risk
Ethics and disclosure are key to whatever compensation model financial planners and financial advisors employ
Scotiabank, National Bank and CIBC advisors were quite vocal in their disapproval of changes to their paycheques
Investment manager is not able to collect bonuses after dismissal because contract stated he must be “actively employed” with the firm for a four-year period
The way you compensate your team can have a profound effect on your staff's morale and productivity, as well as your profitability. There are many ways to reward your staff with incentives and bonuses
Compensation models reward reps for selling certain products
The CSA, IIROC and the MFDA identify how compensation arrangements create conflicts of interest or lead advisors to sell unsuitable products
The proposed requirements aim to discourages inappropriate risk-taking in financial institutions