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Keyword: Sales practices

69 results found
angry client meeting

Incentive conflicts, regulatory burdens on AMF agenda

Regulator's priorities for 2021–2022 include curbing compliance costs and ethical AI

Former Wells Fargo exec sanctioned

OCC penalizes ex-general counsel in sales practices scandal

The weight of proprietary product

Negative perceptions about in-house offerings can affect firms' ratings

NASAA warns investors about cross-selling risks

An alert says the sales tactic can take advantage of clients

Royal Mutual Funds reprimanded for violating sales practices rule

Fund dealer paid reps 10 bps more in commissions for selling its proprietary RBC Portfolio Solutions funds

OSC to consider settlement with Royal Mutual Funds

The regulator alleges the fund dealer violated the mutual fund sales practices rule by paying reps higher commissions to sell its proprietary funds

FCAC says controls to mitigate sales risk at banks “insufficient”

The consumer watchdog reviewed business practices across Canada’s Big Six banks

Four ways to break out of a sales slump

Four ways to break out of a sales slump

Sales slumps happen, says Jim Ruta, who shares four activities advisors can perform to break free

  • By: Jim Ruta
  • November 28, 2017 October 30, 2019
  • 14:15
Why speed and convenience need to be part of your value proposition

Why speed and convenience need to be part of your value proposition

Big banks defend their records to MPs

Bank officials strongly deny allegations of questionable sales practices