Keyword: Sales incentives

47 results 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

angry client meeting

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

Investment Executive July 2018 front cover

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

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

Violations of the rule involve certain incentives programs

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