Latest columns in Inside Track
Technology
David Reeve
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
Industry Perspectives
Ian Russell
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
Compliance CX
Susan Silma
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
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
Tax Matters
Jamie Golombek
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
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