The regulators concluded that some incentive practices may present risks to the fair treatment of customers
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
Amid concerns about consumer harm, the regulator has backed away from a plan to allow incentives
Regulator's priorities for 2021–2022 include curbing compliance costs and ethical AI
The shortcomings may be addressed through the CSA's client-focused reforms
Establishing “harm” is no easy task
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
OSC investigation reveals firm violated sales rule by overspending on gifts for reps and conference attendees