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Keyword: Sales practices

66 results found
different opinions

Should insurance be offered by advisors as part of a holistic financial plan or sold as a complex product by expert salespeople?

environment

Regulator seeks to extend regime to portfolio managers

ESG dividends

Regulators seek to combat fund industry greenwashing risks

gavel

Bank to pay $22 million while denying fund manager's allegations

AI technology

Advisory and customer service functions are among the most advanced AI uses, a report says

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Former firm provided reps with improper incentives, regulator alleged

Focus on Mutual Funds Special Report

Conflict of interest concerns spark regulators' review

rules and regulations

Ban should apply in provinces that have yet to announce it, regulators say

Sign on the building of Financial Industry Regulatory Authority, or Finra, in Manhattan NYC lower financial district downtown, businessman man walking stock photo

SRO expels brokerage over widespread regulatory violations

business man using magnifying glass to inspect documents

The CSA is reviewing distribution arrangements for in-house funds