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Keyword: Sales practices

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Sales practices, supervisory issues dog alt fund sales, says the United States Financial Industry Regulatory Authority

Justice scales and gavel by books

In agreements in 2013, banks were given a "free pass" by the regulator on mis-selling to certain clients

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Vancouver dealer's differential compensation favoured socially responsible funds and portfolio funds

gavel

Incentive structure favoured in-house funds over third-party funds, regulator found

gavel

B.C. court dismisses appeal in "enhanced compensation" case

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Inquest into industry misconduct leads to "anti-hawking" reforms

suspicious client

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

Judge gavel, scales of justice and law books in court

OCC penalizes ex-general counsel in sales practices scandal

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Negative perceptions about in-house offerings can affect firms' ratings