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Shot of a group of young businesspeople using a laptop during a meeting in the boardroom of a modern office

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
Ellen Bessner
Advisor at Risk

Ellen Bessner

client meeting

“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
Businessman Walk Over Cliff Gap Risk Mountain Balancing Flat Illustration

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
Dustyn Lanz
Responsible Investing

Dustyn Lanz

Business man climbing up on hand drawn staircase job change promotion corporate ladder

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
winner

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