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Keyword: Sales practices

64 results found
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

Wall street sign in New York with American flags and New York Stock Exchange background.

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