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Expanded cost reporting poses an important and challenging task

The CSA is expected to propose new cost reporting for investors

tax inspector investigating financial documents through magnifying glass, forensic accounting or financial forensics, inspecting offshore company financial papers, documents and reports.

Complex exempt market offerings require more vigorous oversight

Extensive oversight is needed for integrated EMD and IC/PM business models

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Budget 2021 was a disappointment to the investment industry

Without a detailed fiscal plan, program spending and budget deficits may exceed the current projections

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How to integrate the CIPF into a consolidated SRO

A clear delineation of responsibilities would allow for an effective relationship

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Positive surprises during the pandemic

The changes ushered in by Covid-19 will have a long-term impact

Close up of businessman hands making handshake - greeting, dealing, merger and acquisition concepts

Dealers pursue strategic partnerships to offer alternative investments to clients

A number of smaller investment dealers have made acquisitions to improve the depth of their product shelves

  • By: Ian Russell
  • February 3, 2021 February 3, 2021
  • 15:00
Asian senior father and adult son at home. Family living lifestyle.

Helping different generations meet their retirement goals

Continued transformation and innovation is needed to meet the demands of baby boomers and millennials

  • By: Ian Russell
  • November 18, 2020 November 18, 2020
  • 16:51
Couple getting financial advice

The coming battleground for retail distribution

The recent uptick in small advisory firms reflects several factors affecting the Canadian wealth business

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More effort needed to achieve task force policy objectives

Overlapping regulatory agendas will require constructive coordination

  • By: Ian Russell
  • September 23, 2020 September 23, 2020
  • 16:39
Partners discussing new plans

Closing the circle to benefit investors

SRO reform can lead to a better outcome for dealers and their clients

business woman

Culture can’t be lost in shift to remote work

Executives have realized that remote-based operations can continue in a post-pandemic world

Queen's Park, Ontario legislature, exterior

Ontario securities task force has opportunity to do more

The task force’s approach should extend beyond updating the Ontario Securities Act

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Expect structural change in the investment industry as competitive conditions intensify

Scale is vital to the success of smaller investment dealers

  • By: Ian Russell
  • February 12, 2020 March 13, 2020
  • 15:47
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Industry engagement key to burden reduction measures

Engaging with regulators is an important part of ensuring new rules are implemented effectively

  • By: Ian Russell
  • December 18, 2019 December 18, 2019
  • 16:13
Data protection concept. GDPR. EU. Cyber security. Business man using mouse computer with padlock icon and internet technology network on blue background.

Changing the game on cross-border data processing

Why strengthening personal data protections poses a looming challenge for the Canadian investment industry

  • By: Ian Russell
  • October 16, 2019 November 10, 2019
  • 16:41
Close up of businessman hands making handshake - greeting, dealing, merger and acquisition concepts

Lessons from the recent GMP Capital transaction

Why well-managed small and mid-size independent dealers are competing effectively

  • By: Ian Russell
  • August 15, 2019 November 10, 2019
  • 12:33
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Streamlining eDelivery for prospectuses

How the “notice and access” mechanism for proxy voting could be extended to other documents

compliance puzzle

The OSC Burden Reduction Task Force can make a difference to clients

Lower compliance costs will allow advisors to better serve smaller investors

Stacked white books on rules and regulations

Investors can benefit from regulatory streamlining

Clients have demanded an integrated platform of products and services driven by their desire for convenient, one-stop shopping

  • By: Ian Russell
  • February 14, 2019 November 10, 2019
  • 06:00
flag of ontario flying high on a flag post, against blue sky

FSRA will have many benefits

Ontario’s new insurance regulator will raise the standards of transparency and conduct not only in the province, but nationally

  • By: Ian Russell
  • December 14, 2018 November 10, 2019
  • 06:30

Co-operators outlines climate commitment

UN summit on sustainable finance taking place in Paris this week

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Now is the time to focus on advisor productivity

Taking this approach can help arrest erosion in operating margins in the wealth-management business and be of benefit to clients

  • By: Ian Russell
  • October 18, 2018 November 10, 2019
  • 06:00
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Dealers may narrow offerings in response to regulatory proposals

Many independent firms may restructure or retool their wealth-management operations to mitigate the negative impacts of the client-focused reforms

  • By: Ian Russell
  • August 16, 2018 November 10, 2019
  • 06:00
Downtown office buildings Toronto

Robust internal growth offers alternative to acquisitions

Adopting a strategy focused on technology would give a firm’s advisors greater potential to grow their businesses

senior couple meets with advisor at home

Investors have greater need for financial advice

Recent developments reveal that having a trusted financial advisor is critically important for those seeking wealth-management providers

  • By: Ian Russell
  • April 19, 2018 November 10, 2019
  • 06:00