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advisor-client meeting

KYP and the power of the peer

Why segmenting product shelves into peer groups can help meet regulatory challenges

  • July 23, 2021 July 23, 2021
  • 16:00

Know your product: challenges and opportunities

Reducing product offerings for the sake of KYP is unlikely to serve the investor’s best interest

  • May 28, 2021 May 28, 2021
  • 15:30

Get ready to show your work under the client-focused reforms

Regulators will expect an advisor’s analysis to be documented and sufficiently thorough

  • April 1, 2021 April 1, 2021
  • 15:04

Full disclosure: How to turn compliance into a competitive advantage

Frictionless, relevant disclosure is critical to building trust with clients

  • February 12, 2021 February 12, 2021
  • 15:15
Ian Russell
Industry Perspectives

Ian Russell

client meeting

Expanded cost reporting poses an important and challenging task

The CSA is expected to propose new cost reporting for investors

  • July 21, 2021 July 22, 2021
  • 16:14

Complex exempt market offerings require more vigorous oversight

Extensive oversight is needed for integrated EMD and IC/PM business models

  • May 26, 2021 May 26, 2021
  • 17:22

Budget 2021 was a disappointment to the investment industry

Without a detailed fiscal plan, program spending and budget deficits may exceed the current projections

  • May 3, 2021 May 3, 2021
  • 15:45

How to integrate the CIPF into a consolidated SRO

A clear delineation of responsibilities would allow for an effective relationship

  • April 16, 2021 April 16, 2021
  • 10:48
Susan Silma
Compliance CX

Susan Silma

client meeting

Suitability takes on new meaning with client-focused reforms

Advisors must “put the client’s interest first” when making a recommendation

  • July 14, 2021 July 14, 2021
  • 14:46

How well do you know the products you recommend?

New KYP requirements put the spotlight on firm and advisor product knowledge

  • May 19, 2021 May 19, 2021
  • 15:30

How enhanced KYC requirements are changing client conversations

You can build stronger relationships with clients by implementing new requirements now

  • March 24, 2021 March 24, 2021
  • 15:00

How to talk to clients about the client-focused reforms

Educate and empower clients with information that matters to them

  • January 27, 2021 March 24, 2021
  • 15:49
Ellen Bessner
Advisor at Risk

Ellen Bessner

Why care about changes to regulations?

Three questions to ask to protect yourself and your business

  • July 9, 2021 July 9, 2021
  • 16:21

How to avoid becoming an enforcement statistic

Regulators measure their success based in part on how many enforcement matters they open and prosecute

  • May 28, 2021 May 28, 2021
  • 15:30

You can’t be a walking rulebook

A step-by-step guide to navigating the mountain of rules you must follow to protect your licence, reputation and livelihood 

  • April 14, 2021 April 14, 2021
  • 16:52

Don’t let client preferences come before your legal obligations

Clients may prefer communicating by text, but texting clients comes with risks

  • February 2, 2021 February 2, 2021
  • 16:22
confused man

What exactly is a “reasonable” rate of interest?

Clients who borrow to invest may be intrigued by a recent court case on interest deductibility

  • June 25, 2021 June 25, 2021
  • 17:07

Beware of TFSA schemes

A new CRA warning sheds light on a scheme that’s too good to be true

  • June 11, 2021 June 10, 2021
  • 15:30

Help clients avoid TFSA overcontributions

Your clients may want to check their junk mail folder for correspondence from the CRA

  • May 14, 2021 May 14, 2021
  • 15:00

Relief for the repayment of Covid benefits

The federal budget has rectified a potentially harsh tax treatment of benefit recipients

  • April 21, 2021 April 21, 2021
  • 15:30