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Keyword: Sales incentives

38 results found
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

rules and regulations written on folder

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

Investment Executive July 2018 front cover

Establishing “harm” is no easy task

man playing golf on beautiful sunny green golf course

Following several high-profile administrative penalties for “excessive” spending on promotional activities and non-monetary benefits, there’s little clarity from regulators as to what’s acceptable

High angle view of mallet eyeglasses legal book in courtroom

OSC investigation reveals firm violated sales rule by overspending on gifts for reps and conference attendees

gavel with $100-bill background

The mutual fund company has agreed to pay more than $1 million in penalties and costs for violating sales practices rules

Business woman showing stock market financial situation

Violations of the rule involve certain incentives programs