Your client refuses to disclose required financial information, preventing you from performing your KYC obligation. What do you do?
Sawisky admitted that he failed to learn essential facts about two clients and failed to ensure that securities held by and recommended to those clients were suitable for them.
A third of millennials have sold their investments to raise cash.
Today marks the international day against homophobia, transphobia and biphobia. Advisor.ca offers some articles to help these clients.
Q:What are the biggest misconceptions clients have about your job? Joseph Bakish vice-president, investment advisor at Richardson GMP in Montreal Clients often think we have control over the markets, and they also misunderstand fees. When I discuss market movements or costs with clients, I always bring it back to the value clients receive. For instance, […]
Fortysomethings share their challenges
Think about how much time you and your staff have spent booking client meetings. And think about how helpful would it be if you could clump all the phone calls you receive from clients into specific time slots of the day, and know in advance what they’re calling about. Well, there are services that will […]
Occupation retired City Toronto, Ont. Age 84 I’ve been investing for: 55 years Investable assets: more than $4 million How long I’ve had an advisor: on my own for 40 years Stocks and bonding In the 1940s, when I was a teen, my father would write a list of his investments and their daily performance. […]
What's happening to clients affected by the no-contest settlement between CI Investments and the OSC?
Advisors know that small changes can add up to big savings for clients. Smartphones make it easier for your clients to use technology to save money and track spending. Flipp Flipp is a free app that can be downloaded onto Android, Apple and BlackBerry devices. The Flipp app aggregates flyers from retail stores that can […]