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Compliance CX

Susan Silma

advisor client meeting

Communication as the great differentiator

Use these tips to build an approach that engages clients and inspires referrals

  • April 24, 2024 April 24, 2024
  • 16:00

Annual statements: An unparalleled client engagement opportunity

It’s time to think differently about client communications and disclosure documents

  • February 7, 2024 February 7, 2024
  • 15:00

Your role in financial literacy

Ideas for advisors and firms to address the challenge

  • December 6, 2023 December 6, 2023
  • 15:00

Serving women clients: We’re not there yet

Six ideas to fill the service gap and grow your business

  • October 11, 2023 October 11, 2023
  • 15:00
Investment Funds

Andy Mitchell

diversity

Canada’s investment funds industry can lead in diversity

The result will be greater creativity and resilience

  • April 22, 2024 April 22, 2024
  • 16:00

Mutual fund and ETF assets grew in 2023 amid investor caution

IFIC’s annual investment funds report provides insights on sales, market effect, investor trends

  • February 26, 2024 February 26, 2024
  • 15:00

Regulatory issues for fund industry not unique to Canada

Total cost reporting, ESG challenges discussed at IFIC conference

  • December 4, 2023 December 4, 2023
  • 15:00

Help clients understand fees ahead of total cost reporting

Annual IFIC survey uncovers opportunity to improve investor understanding

  • October 6, 2023 October 6, 2023
  • 15:00
Technology

David Reeve

Solar system

Will 2024 be the year of compliance technology?

Several factors, including regulatory enforcement and improved productivity, are driving a surge in adoption

  • April 15, 2024 April 15, 2024
  • 16:00

AI has arrived in wealth management

Opportunities and challenges must be weighed

  • November 15, 2023 November 15, 2023
  • 15:00

Leverage compliance tech to grow your business

Tech-assisted recommendations can improve client outcomes

  • September 25, 2023 September 25, 2023
  • 15:00

Technology can drive better financial decisions

An InvestorCOM analysis of KYP outcomes provides positive evidence

  • March 15, 2023 March 15, 2023
  • 15:00
Jamie Golombek
Tax Matters

Jamie Golombek

Ensure your client reports all RRSP contributions

In one case, failure to report resulted in an overcontribution penalty

  • April 10, 2024 April 10, 2024
  • 16:05

As RRSP deadline approaches, a reminder about tax-free growth

A hypothetical scenario compares dividend investing inside and outside this registered account

  • February 21, 2024 February 21, 2024
  • 15:00

If your client is buying a home in 2024, read this first

Make the most of these tax planning strategies

  • January 29, 2024 January 29, 2024
  • 15:00

Last-chance RRSP opportunities for your 71-year-old client

Before 2023 ends, take advantage of these two planning points

  • December 18, 2023 December 18, 2023
  • 15:00
Ellen Bessner
Advisor at Risk

Ellen Bessner

Dispute at desk

Do your notes pass the sniff test?

Here are three steps to prove suitability

  • April 8, 2024 April 8, 2024
  • 15:35

A perfect storm lies ahead for advisors and dealers

Mitigate your risk amid potential enforcement delays, CFR audits

  • November 20, 2023 November 20, 2023
  • 15:00

Thinking of leaving your dealer? Here’s what to consider

Protect your business, reputation and clients by knowing your rights and obligations

  • July 19, 2023 July 19, 2023
  • 15:00

Key legal and regulatory issues to heed

Follow these tips to protect your licence and reputation

  • May 31, 2023 May 31, 2023
  • 15:00