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Investment Funds

Paul Bourque

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Thinking outside the box: the CSA as a fintech adopter

The CSA’s renewed system project is an opportunity for the regulator to innovate

  • July 18, 2019 July 18, 2019
  • 15:34

The value of asking clients for a trusted contact

Getting a contact name early can help advisors manage issues before they arise

  • May 15, 2019 July 10, 2019
  • 16:00

Applying a behavioural lens to improve financial disclosure

Research shows that behavioural insights can improve the way information is shared with investors

  • March 13, 2019 July 10, 2019
  • 16:40

Controlling the cost of regulation is a must

Regulators need to introduce systemic changes that will control the growth of regulation, improve regulatory efficiency and reduce the regulatory burden

  • January 17, 2019 July 10, 2019
  • 06:00
Ellen Bessner>
Advisor at Risk

Ellen Bessner

hands passing the baton, business and sports, business succession

Succession for advisors

Don’t leave your dependents in the lurch

  • July 12, 2019 July 12, 2019
  • 15:47

Avoiding conflicts in soliciting arrangements

IIROC and the CSA have provided new guidance to dealers

  • June 14, 2019 July 10, 2019
  • 15:24

If the regulator or SRO comes knocking, answer the door

Not responding will result in a much harsher penalty

  • May 17, 2019 July 10, 2019
  • 16:00

Understanding your fiduciary duty

Tips for knowing when you’re in a fiduciary relationship and providing dutiful service

  • April 18, 2019 July 10, 2019
  • 17:00
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New stock options rules introduced

What advisors need to know before the rules take effect in January

  • July 5, 2019 July 10, 2019
  • 16:21

Appeal Court upholds RRSP overcontribution penalties

Recent FCA case confirms lower court decision denying relief of overcontribution tax, penalties and interest

  • June 7, 2019 July 10, 2019
  • 14:34

A cautionary tale on interest deductibility

A recent FCA case confirms a lower court’s decision restricting interest deductibility when ROC is involved

  • May 10, 2019 July 10, 2019
  • 16:00

Canadians love their tax refunds

Advisors can play a huge role in helping clients understand how taxes affect their investments

  • April 12, 2019 July 10, 2019
  • 12:17
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Debunking the ETF liquidity myth

There’s more to determining an ETF’s liquidity than just looking at its trading volume

  • July 2, 2019 July 10, 2019
  • 16:00
Carey List>
Focus on Financial Planning

Cary List

Queen's Park, Ontario legislature, exterior

A welcome new regulatory era in Ontario

The FSRA’s regulation of advisor and planner titles could influence policy in other jurisdictions

  • June 28, 2019 July 10, 2019
  • 13:43

Long overdue title protection coming to Ontario

But the devil will be in the details

  • May 3, 2019 July 10, 2019
  • 16:49

Now is the time to regulate financial services titles

Consumers expect professionalism and true value from financial advisors

  • March 8, 2019 July 10, 2019
  • 17:00

Turbulent markets require a professional touch

Professional financial planners are uniquely positioned to help clients stay on track during periods of market volatility

  • January 14, 2019 July 10, 2019
  • 06:00