Sales incentives – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Tue, 22 Oct 2024 00:21:53 +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 incentives – Investment Executive https://www.investmentexecutive.com 32 32 SEC targets brokers’ best interests compliance https://www.investmentexecutive.com/news/from-the-regulators/sec-targets-brokers-best-interests-compliance/ Tue, 22 Oct 2024 00:21:53 +0000 https://www.investmentexecutive.com/?p=495215 Exam division details compliance priorities for year ahead

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]]> FCA to examine fairness in insurance sales https://www.investmentexecutive.com/news/from-the-regulators/fca-to-examine-fairness-in-insurance-sales/ Wed, 28 Aug 2024 17:49:01 +0000 https://www.investmentexecutive.com/?p=491774 Regulators has concerns about conflicts, consumer value and competition

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]]> Much work to be done, CSA year in review shows https://www.investmentexecutive.com/news/from-the-regulators/much-work-to-be-done-csa-year-in-review-shows/ Tue, 23 Jul 2024 11:00:04 +0000 https://www.investmentexecutive.com/?p=489713 Ongoing regulatory initiatives include binding authority at OBSI, climate-related disclosures, misleading titles, mutual fund sales practices and more

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]]> U.S. regulators revive incentive pay proposals https://www.investmentexecutive.com/news/from-the-regulators/u-s-regulators-revive-incentive-pay-proposals/ Mon, 06 May 2024 19:04:35 +0000 https://www.investmentexecutive.com/?p=485296 Rules were initially crafted to discourage excessive risk taking in the wake of the global financial crisis

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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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]]> Insurance regulators release guidance targeting unfair incentives https://www.investmentexecutive.com/news/from-the-regulators/insurance-regulators-release-guidance-targeting-unfair-incentives/ Wed, 30 Nov 2022 21:04:36 +0000 https://www.investmentexecutive.com/?p=456694 The regulators concluded that some incentive practices may present risks to the fair treatment of customers

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]]> MFDA, BCSC settle sales practices case with $600K in penalties https://www.investmentexecutive.com/news/from-the-regulators/mfda-bcsc-settle-sales-practices-case-with-600k-in-penalties/ Mon, 13 Dec 2021 19:51:12 +0000 https://www.investmentexecutive.com/?p=435821 Vancouver dealer's differential compensation favoured socially responsible funds and portfolio funds

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]]> Quadrus settles with MFDA over lapses in sales practices https://www.investmentexecutive.com/news/from-the-regulators/quadrus-settles-with-mfda-over-lapses-in-sales-practices/ Wed, 24 Nov 2021 21:53:35 +0000 https://www.investmentexecutive.com/?p=434568 Incentive structure favoured in-house funds over third-party funds, regulator found

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]]> Proposed fund dealer class action fails again https://www.investmentexecutive.com/news/from-the-regulators/proposed-fund-dealer-class-action-fails-again/ Thu, 12 Aug 2021 18:24:36 +0000 https://www.investmentexecutive.com/?p=426677 B.C. court dismisses appeal in "enhanced compensation" case

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]]> FSRA to leave limits on life sector incentives https://www.investmentexecutive.com/news/from-the-regulators/fsra-to-leave-limits-on-life-sector-incentives/ Wed, 14 Jul 2021 20:35:23 +0000 https://www.investmentexecutive.com/?p=425445 Amid concerns about consumer harm, the regulator has backed away from a plan to allow incentives

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