Latest columns in Inside Track
Technology
David Reeve
Advisors require tech as pre-trade obligations grow
Firms that deliver on digital documentation and disclosure will reduce audit risk
- November 19, 2021 November 19, 2021
- 15:00
Meeting new KYP requirements without restricting shelves
Tech helps preserve product choice
- October 1, 2021 October 1, 2021
- 15:00
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
Advisor at Risk
Ellen Bessner
“But that’s what the client wanted”
Don’t fall for clients’ demands for unsuitable investments
- November 15, 2021 November 15, 2021
- 15:00
Regulatory settlement? Inform yourself!
Understand how a settlement can unexpectedly affect you
- September 17, 2021 September 17, 2021
- 15:00
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
Tax Matters
Jamie Golombek
Rebalancing your client’s portfolio may require a balancing act
Considerations include a potential hike to the capital gains inclusion rate
- November 10, 2021 November 10, 2021
- 15:00
Tax-efficient RESP withdrawals
Without a strategy, clients with large plans could be heavily taxed on payments
- October 15, 2021 October 15, 2021
- 15:00
Ottawa mulls disbursement quota changes
Consultation ends on Sept. 30
- August 25, 2021 August 25, 2021
- 15:00
Help your senior clients prepare for OAS changes
Get ready for an OAS index adjustment, a one-time payment for “older” seniors and an extra 10% for seniors over 75
- July 30, 2021 July 30, 2021
- 14:00
Responsible Investing
Dustyn Lanz
Successes, challenges and next steps in responsible investing
RIA CEO reflects on developments and urges advisors to start conversations
- November 9, 2021 November 10, 2021
- 16:40
An advisor’s short guide to greenwashing
How three factors are contributing to rising concerns about greenwashing in the investment industry
- August 10, 2021 August 10, 2021
- 16:00
Three key ESG trends advisors need to be aware of
How stewardship, impact measurement and net zero are shaping the RI space
- May 11, 2021 May 11, 2021
- 14:45
Six sustainable finance trends to watch in 2021
Environmental and social issues are expected to dominate proxy season, and ESG disclosure standards are on the way
- January 8, 2021 January 8, 2021
- 15:17
ETFs
Pat Dunwoody
Validate your processes and think “win-win” when it comes to applying CFRs
The CFRs are really about formalizing and documenting processes to prove they’re followed
- November 9, 2021 November 3, 2021
- 13:00
Dipping your toe in crypto? Consider using ETFs
The advent of the ETF option offers investors a liquid and safer way to get exposure
- September 7, 2021 September 7, 2021
- 12:05
Are ETFs riskier than mutual funds?
It’s the underlying holdings that are important — not the structure of the investment
- February 4, 2020 February 3, 2020
- 16:00
Eight tips for trading ETFs
Make sure you’re getting the most out of your trades
- January 7, 2020 January 3, 2020
- 16:00
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