Pablo Fuchs, senior editor with Investment Executive, and Fiona Collie, staff writer, outline the key findings of the 2015 Regulators’ Report Card. Overall evaluations of…
Client appreciation is key to deepening relationships
COs and company executives already were reeling from regulatory pressures — and new rules have only added to that burden
Most survey participants would like to pay less in regulatory fees, but realize regulators need resources to operate
Almost two-thirds of survey participants are opposed to a whistleblower program that pays insiders for tips
Almost three-quarters of survey participants say the costs and effort needed to be compliant with CRM2 are significant
The Ontario Securities Commission has taken a major hit for its lack of sensitivity and responsiveness to the investment industry
Too few company pensions and stretched public finances are heating up the debate over adequate retirement funding
Glen Rankin believes in client contact, honesty and hard work. Since he began selling insurance at the age of 19, Rankin has known the value…
Compliance officers (COs) and senior executives from a cross-section of firms in the investment industry shared their thoughts about the regulators that oversee their businesses…
Survey participants question whether regulators should focus so much on developments outside of Canada
IIROC and the MFDA have advisory committees, regional councils and policy roundtables in place through which to receive feedback
In part 10, George Hartman, managing partner with Elite Advisors Canada, discusses the importance of having a written succession plan and what should be included…
Active ownership helps create long-term value for investors.
As resources run out and companies turn away from the depletive economy, opportunities run in — and Impax’s Luciano Lilloy is snapping them up for…
With investors growing cautious toward historically expensive risk assets, defensive sectors are attracting renewed capital inflows. Skyline breaks down the current environment and explains why…
Have You Thought About What Season Your Practice is in?
HNW clients want guidance on the complex challenges that wealth can bring
Referrals are key to boosting your roster of HNW clients
The nature of private apartment funds means they can complement your client’s traditional investment portfolio.
Boosting advisor productivity in Canada through integration, innovation, and global best practices.
Head of Compliance for WFGIAC April Stadnek shares her perspective on the growing need for financial protection among Canadians, and how WFG supports its advisors…
A video breakdown of the 2025 Report Card on Banks themes
Paying the bills and growing their careers were priorities for the Big Six’s branch planners
But banks’ big mutual fund fees are, investor advocate says
Regulator requests monetary penalties, disgorgement, costs and market bans
Insurance advisors answered multiple-choice questions about their industry experience for this inaugural research
Housing costs are a growing worry, BMO index finds