Sales practices – 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 practices – 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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]]> Two sides of the insurance sales debate https://www.investmentexecutive.com/newspaper_/insurance-guide/two-sides-of-the-insurance-sales-debate/ Mon, 13 May 2024 04:05:00 +0000 https://www.investmentexecutive.com/?p=485257 Should insurance be offered by advisors as part of a holistic financial plan or sold as a complex product by expert salespeople?

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]]> FCA escalates greenwashing fight https://www.investmentexecutive.com/news/from-the-regulators/fca-escalates-greenwashing-fight/ Tue, 23 Apr 2024 16:54:40 +0000 https://www.investmentexecutive.com/?p=484586 Regulator seeks to extend regime to portfolio managers

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]]> CSA expands ESG guidance for investment funds https://www.investmentexecutive.com/news/from-the-regulators/csa-expands-esg-guidance-for-investment-funds/ Thu, 07 Mar 2024 17:43:46 +0000 https://www.investmentexecutive.com/?p=481783 Regulators seek to combat fund industry greenwashing risks

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]]> TD settles sales practices class action https://www.investmentexecutive.com/news/from-the-regulators/td-settles-sales-practices-class-action/ Tue, 13 Feb 2024 20:47:25 +0000 https://www.investmentexecutive.com/?p=480464 Bank to pay $22 million while denying fund manager's allegations

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]]> OSC grapples with promise, risks of AI https://www.investmentexecutive.com/news/from-the-regulators/osc-grapples-with-promise-risks-of-ai/ Tue, 10 Oct 2023 15:56:39 +0000 https://www.investmentexecutive.com/?p=472875 Advisory and customer service functions are among the most advanced AI uses, a report says

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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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]]> Mutual fund chargebacks to face CSA scrutiny https://www.investmentexecutive.com/news/from-the-regulators/mutual-fund-chargebacks-to-face-csa-scrutiny/ Thu, 01 Jun 2023 19:10:56 +0000 https://www.investmentexecutive.com/?p=466724 Conflict of interest concerns spark regulators' review

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