A post-pandemic upgrade for advice
Getting intentional about putting clients first
Getting intentional about putting clients first
Industry research can make advisors feel vulnerable. Use that feeling as a call to action.
Be clear about what you stand for, so clients won’t fall for what you don’t
Tips to inspire action so clients ace the task we love to avoid
Advisory challenges of financial abuse and dementia
Initial industry reaction to the SRO's discussion paper
Plus, they share how they're making a difference for others in the industry
Advisors share what they offer—beyond the plan
Will 2018 see a market correction?
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…
Economic sweet spot won't last forever
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…
The SRO is currently reviewing its CE program
Global regulators get high-tech with enforcement
Give clients more by offering less
It can make goal-setting easier
Former Enron exec speaks from experience
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…
What the regulator's looking for
What results from the 2016 oversight review reveal 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…
Regulator zeroes in on financial services, not reporting issuers
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…
From investments to insurance, eliminate surprises by keeping up with price changes
Knowing your client’s tax position makes for meaningful planning