Case claimed extra compensation for selling in-house funds harmed investors
The regulator proposes to allow companies to pay up to 15% of annual pay in securities
Regulator recommends studying ban, beefing up disclosure
The salary drop tracks with a 17% decline in bonuses
There's also growing dissatisfaction with asset-based fees
Survey will include small, medium and large firms
Agreements allow reps to receive compensation from credit unions for securities-related activities
U.S. regulator adopts rules to enhance transparency and oversight of alternative trading systems
The recommendations seek to assist regulators’ oversight of the effectiveness of compensation tools in addressing misconduct risk
Ethics and disclosure are key to whatever compensation model financial planners and financial advisors employ
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