Home Sales incentives

Keyword: Sales incentives

40 results found
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
panorama with green house and windmill on white background

Vancouver dealer's differential compensation favoured socially responsible funds and portfolio funds


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


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