Home Sales practices

Keyword: Sales practices

53 results found
gavel

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

gavel

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

People Working Finance Stock Exchange ConceptPeople Working Finance Stock Exchange Concept

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

Balance between two large gold spheres. 3d illustration on a grey background.

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

loseup portrait senior man protecting a piggy bank

An alert says the sales tactic can take advantage of clients

meeting room interior with table, raw of chairs and block-notes,decorated in black and white tones

Fund dealer paid reps 10 bps more in commissions for selling its proprietary RBC Portfolio Solutions funds

RBC logo Royal Bank of Canada sign

The regulator alleges the fund dealer violated the mutual fund sales practices rule by paying reps higher commissions to sell its proprietary funds