Home Sales practices Page 2

Keyword: Sales practices

71 results found
A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

BCSC sanctions sales-rule violations

Former firm provided reps with improper incentives, regulator alleged

Focus on Mutual Funds Special Report

Mutual fund chargebacks to face CSA scrutiny

Conflict of interest concerns spark regulators' review

rules and regulations

Seg fund DSC ban on track across Canada: CCIR

Ban should apply in provinces that have yet to announce it, regulators say

Sign on the building of Financial Industry Regulatory Authority, or Finra, in Manhattan NYC lower financial district downtown, businessman man walking stock photo

FINRA to firm: Get out!

SRO expels brokerage over widespread regulatory violations

business man using magnifying glass to inspect documents

Mutual fund sales practices face fresh scrutiny

The CSA is reviewing distribution arrangements for in-house funds

FINRA flags liquid alt concerns

Sales practices, supervisory issues dog alt fund sales, says the United States Financial Industry Regulatory Authority

Review finds crucial failings in FCA redress efforts

In agreements in 2013, banks were given a "free pass" by the regulator on mis-selling to certain clients

MFDA, BCSC settle sales practices case with $600K in penalties

Vancouver dealer's differential compensation favoured socially responsible funds and portfolio funds

Quadrus settles with MFDA over lapses in sales practices

Incentive structure favoured in-house funds over third-party funds, regulator found

Proposed fund dealer class action fails again

B.C. court dismisses appeal in "enhanced compensation" case