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A post-pandemic upgrade for advice

Getting intentional about putting clients first

The men and women go hand in hand on the arrow

Finding the courage to be a leader

Industry research can make advisors feel vulnerable. Use that feeling as a call to action.

Rethink your value proposition

Be clear about what you stand for, so clients won’t fall for what you don’t

dividing equally

Help your client prepare to write a will

Tips to inspire action so clients ace the task we love to avoid

senior client debt empty wallet

When a senior client’s situation sparks suspicion

Advisory challenges of financial abuse and dementia

Move over CRM2: MFDA proposes total cost disclosure

Initial industry reaction to the SRO's discussion paper

Advisors dish up details from the gender divide

Plus, they share how they're making a difference for others in the industry

The hidden value of financial planning

Advisors share what they offer—beyond the plan

Equity returns, rate hikes and risks: experts weigh in

Will 2018 see a market correction?

Coming soon: MFDA continuing education

If you’re an MFDA advisor, expect a published rule on continuing education (CE) requirements late this year or early 2018. Read: IIROC continuing education rules…

Synchronized global growth favours equities, but risks lie in wait

Economic sweet spot won't last forever

How to make yourself invulnerable to liability

Keeping abreast of your client obligations is no easy feat, and following proposed legislation—like Finance’s tax reforms for businesses—adds to the burden. If the department’s…

Digging into IIROC’s proposed CE requirements

The SRO is currently reviewing its CE program

The latest in enforcement: robo-experts

Global regulators get high-tech with enforcement

What happens when advisors use robos

Give clients more by offering less

Target and arrows

How being an advisor affects personal financial goals

It can make goal-setting easier

When the wrong thing is legal, what’s an investor to do?

Former Enron exec speaks from experience

Industry still waiting for best interest clarity

At the National Institute on U.S.-Canadian Securities Litigation in Toronto this week, regulators and litigators discussed industry developments. Best interest standard at a standstill? Panellists…

Business young people in the job interview, signed an employment contract with boss in the office

MFDA plans sweep of advisors, reveals more on CE plans

What the regulator's looking for

CSA expects processes, documentation from IIROC

What results from the 2016 oversight review reveal for dealers

IIROC guidance on managing conflicts poses challenges for dealers

01 IIROC compensation review In April, IIROC published guidance on managing compensation-related conflicts after reviewing 20 firms. The review identified three concerns: disclosure gaps, a…

OSC’s priorities provide clues to enforcement

Regulator zeroes in on financial services, not reporting issuers

CSA commenced almost half as many proceedings in 2016

Last year, CSA enforcement resulted in more than $62 million in fines, administrative penalties and voluntary payments. However, it’s difficult to compare that to 2015’s…

Your guide to inflation-proofing clients’ lives

From investments to insurance, eliminate surprises by keeping up with price changes

This year’s tax filing guide

Knowing your client’s tax position makes for meaningful planning