Keyword: Sales practices

61 results found
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Inquest into industry misconduct leads to "anti-hawking" reforms

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Amid concerns about consumer harm, the regulator has backed away from a plan to allow incentives

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Regulator's priorities for 2021–2022 include curbing compliance costs and ethical AI

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OCC penalizes ex-general counsel in sales practices scandal

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

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An alert says the sales tactic can take advantage of clients

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

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

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The consumer watchdog reviewed business practices across Canada’s Big Six banks

Four ways to break out of a sales slump

Sales slumps happen, says Jim Ruta, who shares four activities advisors can perform to break free

  • By: Jim Ruta
  • November 28, 2017 October 30, 2019
  • 14:15