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
Regulator's priorities for 2021–2022 include curbing compliance costs and ethical AI
OCC penalizes ex-general counsel in sales practices scandal
Negative perceptions about in-house offerings can affect firms' ratings
An alert says the sales tactic can take advantage of clients
Fund dealer paid reps 10 bps more in commissions for selling its proprietary RBC Portfolio Solutions funds
The regulator alleges the fund dealer violated the mutual fund sales practices rule by paying reps higher commissions to sell its proprietary funds
The consumer watchdog reviewed business practices across Canada’s Big Six banks