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Ellen Bessner>
Advisor at Risk

Ellen Bessner

Open law book with a wooden judges gavel on table in a courtroom or law enforcement office isolated on white background

Beware of unforgiving and aggressive regulators

Pressures to build your business should not lead advisors to disregard compliance

Entrepreneurial advisors need to find the right balance

There are various reasons why advisors take risks and get into trouble with regulators; here are some key measures you could take to protect yourself

  • December 17, 2017 December 17, 2017
  • 20:00

AI cannot replace human advisors

Services such as robo-advisors lack the ability to truly understand clients like financial advisors do

  • November 19, 2017 November 19, 2017
  • 17:20

Get on top of potential conflicts of interest

Take the necessary steps to know your clients thoroughly and determine if one family member’s actions could put you in a conflict of interest situation

  • October 22, 2017 October 22, 2017
  • 18:00
Piggybank With Eyeglasses And Calculator On Wooden Table

Three tax resolutions for 2018

Here are three simple tax strategies you and your clients should keep in mind for minimizing taxes this year

Tips for yearend charitable donations

There are three key tax considerations you and your clients should keep in mind when making decisions on charitable donations for the end of 2017

  • December 10, 2017 December 10, 2017
  • 16:00

Capital gains tax needs to be reduced or abolished

There are many benefits to be had for investors and the overall economy as a whole if the capital gains tax is eliminated

  • November 12, 2017 November 12, 2017
  • 18:00

Submissions on passive income proposals bring up valid arguments

The government should take a close look at the Joint Committee on Taxation’s comments on the proposed passive investment income proposal

  • October 15, 2017 October 15, 2017
  • 18:00
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Focus on Financial Planning

Keith Costello

Silhouttes of Two Business People Having a Handshake

Investor behaviour biases are still paramount

Financial planners and financial advisors need to understand the behavioural finance categories that their clients fit into

Changes in public policy pose great risk for retirement planning

Financial planners and advisors need to factor in volatile government policy, such as changes to tax policy, when helping clients plan for retirement

  • November 6, 2017 November 6, 2017
  • 06:30

Speak softly to your clients

Financial planners and financial advisors need to embrace soft skills to succeed in the future

  • September 10, 2017 December 15, 2017
  • 17:00

Banning embedded commissions may not be the holy grail for investors

Ethics and disclosure are key to whatever compensation model financial planners and financial advisors employ

  • July 17, 2017 December 15, 2017
  • 05:00
Smartphone with finance and market icons and symbols concept

Technology will drive harmonization, regulators say

The insurance industry is taking a page from the mutual fund industry, leveraging technology to address mounting disclosure regulations

AI is not just another fad

AI is slowly making its way into the wealth-management industry and will ultimately transform financial advisors’ role

  • October 29, 2017 October 29, 2017
  • 13:00

Is financial services the next music industry?

Blockchain technology may transform financial services just as peer-to-peer file-sharing technology changed the music industry almost 20 years ago

  • September 4, 2017 December 15, 2017
  • 17:00

Clients want humans, not robots

Far from replacing interaction with real people, technology strengthens the financial advisor’s client service

  • July 10, 2017 December 15, 2017
  • 05:00
Ian Russell>
Industry Perspectives

Ian Russell

Gavel and legal books

Renovating the rulebook must be a top priority for regulators

More attention needs to be paid to enhancing market efficiency by lowering costs and lightening the regulatory burden for registrants

Regulators must avoid unintended consequences

As a new survey reveals that investors have trust their advisors, proper steps need to be taken to ensure advisors are allowed to thrive

  • October 19, 2017 January 17, 2018
  • 06:00

MiFID II represents a challenge for Canadian dealers

Whether Canadian securities dealers can establish a global model of payment for research will depend on U.S. regulatory accommodation to MiFID II

  • August 16, 2017 December 15, 2017
  • 17:00