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Keyword: Sales incentives

33 results found
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

MFDA bans former rep for recommending unsuitable strategy

The firm admitted that it failed to adequately supervise leveraged accounts and concentration risk

Why banning life insurance sales incentives won’t help consumers

Jim Ruta cautions that banning sales incentives may lead to fewer families with life insurance coverage

  • By: Jim Ruta
  • September 13, 2017 August 14, 2018
  • 14:30

AMF & CCIR to look at how incentives influence insurance advisors

The regulator’s paper follows a 2015 survey highlighting several concerns, including the management of conflicts connected with remuneration

IIROC reaches settlement with three former All Group reps

The firm spent $2 million on a conference that violated the rules and included lavish gifts for reps, including Dom Perignon, jewelry and golf outings