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Keyword: Conflicts of interest

316 results found

CCIR questionnaire to assess practices of insurance agents in managing conflicts of interest

Agents required to complete the questionnaire by July 27

By: James Langton
July 6, 2007 July 6, 2007
14:35

IOSCO publishes report on conflicts of interest

Report discusses approaches for addressing conflicts that may arise during securities offerings

By: James Langton
March 4, 2007 March 4, 2007
15:30

CCIR agrees on three principles as best practices in managing conflicts of interest

FSCO plans to review principles

By: James Langton
February 6, 2007 February 6, 2007
11:15

Commission disclosure does not stop conflicts of interest, Advocis says

Association responds to Newfoundland’s Principles of the Sale of Insurance

By: IE Staff
January 25, 2007 January 25, 2007
16:20

Wachovia to pay US$25 million in conflict of interest settlement

Settlement brings multi-state investigation to a close

By: James Langton
July 5, 2006 July 5, 2006
10:40

MFDA amends conflicts of interest rule

Written disclosure must be provided to clients regarding potential conflicts that have been identified

By: James Langton
June 22, 2006 June 22, 2006
15:40

Regulators approve changes to MDFA rules

Amendments clarify conflict of interest guidelines

By: James Langton
February 27, 2006 February 27, 2006
16:40

Insurance regulators issue recommendations for managing conflicts of interest

Industry comments sought

By: James Langton
February 13, 2006 February 13, 2006
16:10

No evidence of unfair enforcement at ASC: report

Auditor General says regulator needs to clarify enforcement guidelines and policies

By: IE Staff
October 27, 2005 October 27, 2005
14:30

Private investment schemes raise conflicts of interest, MFDA says

Regulator notice clarifies dealer obligations

By: James Langton
October 3, 2005 October 3, 2005
15:40