Sales incentives – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Fri, 25 Aug 2023 20:53:20 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Sales incentives – Investment Executive https://www.investmentexecutive.com 32 32 BCSC sanctions sales-rule violations https://www.investmentexecutive.com/news/from-the-regulators/bcsc-sanctions-sales-rule-violations/ Fri, 25 Aug 2023 20:53:20 +0000 https://www.investmentexecutive.com/?p=470711 Former firm provided reps with improper incentives, regulator alleged

The post BCSC sanctions sales-rule violations appeared first on Investment Executive.

]]> Insurance regulators release guidance targeting unfair incentives https://www.investmentexecutive.com/news/from-the-regulators/insurance-regulators-release-guidance-targeting-unfair-incentives/ Wed, 30 Nov 2022 21:04:36 +0000 https://www.investmentexecutive.com/?p=456694 The regulators concluded that some incentive practices may present risks to the fair treatment of customers

The post Insurance regulators release guidance targeting unfair incentives appeared first on Investment Executive.

]]> MFDA, BCSC settle sales practices case with $600K in penalties https://www.investmentexecutive.com/news/from-the-regulators/mfda-bcsc-settle-sales-practices-case-with-600k-in-penalties/ Mon, 13 Dec 2021 19:51:12 +0000 https://www.investmentexecutive.com/?p=435821 Vancouver dealer's differential compensation favoured socially responsible funds and portfolio funds

The post MFDA, BCSC settle sales practices case with $600K in penalties appeared first on Investment Executive.

]]> Quadrus settles with MFDA over lapses in sales practices https://www.investmentexecutive.com/news/from-the-regulators/quadrus-settles-with-mfda-over-lapses-in-sales-practices/ Wed, 24 Nov 2021 21:53:35 +0000 https://www.investmentexecutive.com/?p=434568 Incentive structure favoured in-house funds over third-party funds, regulator found

The post Quadrus settles with MFDA over lapses in sales practices appeared first on Investment Executive.

]]> Proposed fund dealer class action fails again https://www.investmentexecutive.com/news/from-the-regulators/proposed-fund-dealer-class-action-fails-again/ Thu, 12 Aug 2021 18:24:36 +0000 https://www.investmentexecutive.com/?p=426677 B.C. court dismisses appeal in "enhanced compensation" case

The post Proposed fund dealer class action fails again appeared first on Investment Executive.

]]> FSRA to leave limits on life sector incentives https://www.investmentexecutive.com/news/from-the-regulators/fsra-to-leave-limits-on-life-sector-incentives/ Wed, 14 Jul 2021 20:35:23 +0000 https://www.investmentexecutive.com/?p=425445 Amid concerns about consumer harm, the regulator has backed away from a plan to allow incentives

The post FSRA to leave limits on life sector incentives appeared first on Investment Executive.

]]> Incentive conflicts, regulatory burdens on AMF agenda https://www.investmentexecutive.com/news/from-the-regulators/incentive-conflicts-regulatory-burdens-on-amf-agenda/ Fri, 11 Jun 2021 17:58:59 +0000 https://www.investmentexecutive.com/?p=423545 Regulator's priorities for 2021–2022 include curbing compliance costs and ethical AI

The post Incentive conflicts, regulatory burdens on AMF agenda appeared first on Investment Executive.

]]> CSA rules on incentives inadequate, IOSCO finds https://www.investmentexecutive.com/news/from-the-regulators/csa-rules-on-incentives-inadequate-iosco-finds/ Thu, 26 Sep 2019 16:55:58 +0000 https://www.investmentexecutive.com/?p=387824 The shortcomings may be addressed through the CSA's client-focused reforms

The post CSA rules on incentives inadequate, IOSCO finds appeared first on Investment Executive.

]]> OSC sets sights on new targets https://www.investmentexecutive.com/newspaper_/news-newspaper/osc-sets-sights-on-new-targets/ Fri, 22 Jun 2018 04:17:00 +0000 https://www.investmentexecutive.com/?p=352605 Establishing “harm” is no easy task

The post OSC sets sights on new targets appeared first on Investment Executive.

]]> Mutual fund firms concerned with lack of guidance on promotional spending https://www.investmentexecutive.com/news/products/mutual-fund-firms-concerned-with-lack-of-guidance-on-promotional-spending/ Wed, 16 May 2018 16:45:10 +0000 https://www.investmentexecutive.com/?p=350357 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

The post Mutual fund firms concerned with lack of guidance on promotional spending appeared first on Investment Executive.

]]>