Sales practices – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Tue, 23 Apr 2024 16:54:40 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Sales practices – Investment Executive https://www.investmentexecutive.com 32 32 FCA escalates greenwashing fight https://www.investmentexecutive.com/news/from-the-regulators/fca-escalates-greenwashing-fight/ Tue, 23 Apr 2024 16:54:40 +0000 https://www.investmentexecutive.com/?p=484586 Regulator seeks to extend regime to portfolio managers

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]]> CSA expands ESG guidance for investment funds https://www.investmentexecutive.com/news/from-the-regulators/csa-expands-esg-guidance-for-investment-funds/ Thu, 07 Mar 2024 17:43:46 +0000 https://www.investmentexecutive.com/?p=481783 Regulators seek to combat fund industry greenwashing risks

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]]> TD settles sales practices class action https://www.investmentexecutive.com/news/from-the-regulators/td-settles-sales-practices-class-action/ Tue, 13 Feb 2024 20:47:25 +0000 https://www.investmentexecutive.com/?p=480464 Bank to pay $22 million while denying fund manager's allegations

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]]> OSC grapples with promise, risks of AI https://www.investmentexecutive.com/news/from-the-regulators/osc-grapples-with-promise-risks-of-ai/ Tue, 10 Oct 2023 15:56:39 +0000 https://www.investmentexecutive.com/?p=472875 Advisory and customer service functions are among the most advanced AI uses, a report says

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]]> BCSC sanctions sales-rule violations https://www.investmentexecutive.com/news/from-the-regulators/bcsc-sanctions-sales-rule-violations/ Fri, 25 Aug 2023 20:53:20 +0000 https://www.investmentexecutive.com/?p=470711 Former firm provided reps with improper incentives, regulator alleged

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]]> Mutual fund chargebacks to face CSA scrutiny https://www.investmentexecutive.com/news/from-the-regulators/mutual-fund-chargebacks-to-face-csa-scrutiny/ Thu, 01 Jun 2023 19:10:56 +0000 https://www.investmentexecutive.com/?p=466724 Conflict of interest concerns spark regulators' review

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]]> Seg fund DSC ban on track across Canada: CCIR https://www.investmentexecutive.com/news/industry-news/seg-fund-dsc-ban-on-track-across-canada-ccir/ Fri, 19 May 2023 16:53:12 +0000 https://www.investmentexecutive.com/?p=465874 Ban should apply in provinces that have yet to announce it, regulators say

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]]> FINRA to firm: Get out! https://www.investmentexecutive.com/news/from-the-regulators/finra-to-firm-get-out/ Fri, 12 May 2023 19:07:53 +0000 https://www.investmentexecutive.com/?p=465540 SRO expels brokerage over widespread regulatory violations

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]]> Mutual fund sales practices face fresh scrutiny https://www.investmentexecutive.com/news/from-the-regulators/mutual-fund-sales-practices-face-fresh-scrutiny/ Thu, 22 Sep 2022 17:20:15 +0000 https://www.investmentexecutive.com/?p=451930 The CSA is reviewing distribution arrangements for in-house funds

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]]> FINRA flags liquid alt concerns https://www.investmentexecutive.com/news/from-the-regulators/finra-flags-liquid-alt-concerns/ Wed, 20 Apr 2022 19:27:16 +0000 https://www.investmentexecutive.com/?p=443049 Sales practices, supervisory issues dog alt fund sales, says the United States Financial Industry Regulatory Authority

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