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Keyword: Sales incentives

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Rules were initially crafted to discourage excessive risk taking in the wake of the global financial crisis

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Former firm provided reps with improper incentives, regulator alleged

Couple getting financial retirement advice from consultant at home

The regulators concluded that some incentive practices may present risks to the fair treatment of customers

  • By: IE Staff
  • November 30, 2022 November 30, 2022
  • 16:04
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Vancouver dealer's differential compensation favoured socially responsible funds and portfolio funds

gavel

Incentive structure favoured in-house funds over third-party funds, regulator found

gavel

B.C. court dismisses appeal in "enhanced compensation" case

suspicious client

Amid concerns about consumer harm, the regulator has backed away from a plan to allow incentives

angry client meeting

Regulator's priorities for 2021–2022 include curbing compliance costs and ethical AI

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The shortcomings may be addressed through the CSA's client-focused reforms

Investment Executive July 2018 front cover

Establishing “harm” is no easy task