Keyword: Sales practices

68 results found
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

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

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

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

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

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

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

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