Sales practices | Investment Executive https://www.investmentexecutive.com/tag/sales-practices/ Canada's news source for financial professionals Fri, 28 Nov 2025 19:56:55 +0000 en-US hourly 1 https://wordpress.org/?v=6.8.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Sales practices | Investment Executive https://www.investmentexecutive.com/tag/sales-practices/ 32 32 Trade, geopolitics loom large in OSC’s agenda https://www.investmentexecutive.com/news/trade-geopolitics-loom-large-in-oscs-agenda/ Fri, 28 Nov 2025 19:56:55 +0000 https://www.investmentexecutive.com/?p=526550 Regulator publishes draft priorities, highlighting competitive concerns

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]]> SEC drops crypto from compliance exams https://www.investmentexecutive.com/news/sec-drops-crypto-from-compliance-exams/ Tue, 18 Nov 2025 18:53:56 +0000 https://www.investmentexecutive.com/?p=525711 Exam priorities no longer cite crypto as an emerging risk, or focus

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]]> Reps’ court-side seats breach gift limits: FINRA https://www.investmentexecutive.com/news/reps-court-side-seats-breach-gift-limits-finra/ Mon, 03 Nov 2025 18:57:48 +0000 https://www.investmentexecutive.com/?p=524378 Wholesalers allegedly provided reps with valuable tickets

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]]> NASAA beefs up guidance on REITs https://www.investmentexecutive.com/news/from-the-regulators/nasaa-beefs-up-guidance-on-reits/ Tue, 09 Sep 2025 20:54:12 +0000 https://www.investmentexecutive.com/?p=519524 Conduct standards, suitability requirements revised

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]]> Bank reps under pressure to sell: OSC and CIRO https://www.investmentexecutive.com/news/from-the-regulators/bank-reps-under-pressure-to-sell-osc-and-ciro/ Wed, 09 Jul 2025 13:00:00 +0000 https://www.investmentexecutive.com/?p=514839 Research "showed a statistically significant association" between sales pressure and recommendations not in client interests

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]]> Pressure on bank reps is nothing new https://www.investmentexecutive.com/news/from-the-regulators/pressure-on-bank-reps-is-nothing-new/ Wed, 09 Jul 2025 13:00:00 +0000 https://www.investmentexecutive.com/?p=514845 Reps' concerns have been documented for years in IE's Report Card research

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]]> Bank reps, dealers in OSC’s compliance crosshairs https://www.investmentexecutive.com/news/from-the-regulators/bank-reps-dealers-in-oscs-compliance-crosshairs/ Tue, 10 Jun 2025 17:29:20 +0000 https://www.investmentexecutive.com/?p=512252 Regulator outlines examination priorities for fiscal 2026

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]]> CFR compliance sweep report on tap https://www.investmentexecutive.com/news/from-the-regulators/cfr-compliance-sweep-report-on-tap/ Fri, 31 Jan 2025 21:06:13 +0000 https://www.investmentexecutive.com/?p=501492 CIRO, CSA to publish joint report on CFR sweep in first half

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]]> CSA seeks sales practices reforms https://www.investmentexecutive.com/news/from-the-regulators/csa-seeks-sales-practices-reforms/ Fri, 29 Nov 2024 15:08:45 +0000 https://www.investmentexecutive.com/?p=497634 Proposals aim to boost investor protection around proprietary fund sales

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]]> OSC, CIRO to review banks’ sales practices https://www.investmentexecutive.com/news/from-the-regulators/osc-ciro-to-review-banks-sales-practices/ Tue, 26 Nov 2024 22:45:23 +0000 https://www.investmentexecutive.com/?p=497479 Regulators cite concerns about high-pressure sales tactics in bank branches

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