May 2018


New lawsuit and SRO proposals could affect CSA’s decision

Policy-makers called on to do more than they’re proposing

How the CRA will apply the new rules remains unclear

Lower income levels, lack of confidence in investing and greater exposure to eldercare issues may be contributing factors

Clients interested in investing in technology companies must be reminded of the sector's high volatility

Brokerage Report Card

Although advisors reported another all-time high average book of business, they're dealing with much uncertainty due to the major changes their firms and the industry…

How investment advisors rated their firms

Many of the trends seen in last year's Report Card have picked up steam, with assets under management and productivity rising at a healthy pace…

After a rough showing in 2017, BMO Nesbitt Burns and ScotiaMcLeod faced very different assessments from their advisors this year

Although 63.5% of advisors surveyed for the Report Card favour regulators addressing concerns surrounding the use of embedded commissions, opinions were split regarding the right…

A firm's standing in the eyes of clients and prospective clients is one of the most important issues for advisors, but some firms have work…

Advisors at four firms cited recent changes that have made the experience of dealing with their back office more difficult

Advisors toast their firms

Advisors with bank-owned brokerages were split in their opinions of the roles their branch managers fulfil. Some oppose the producing branch manager model others said…

Advisors with five of the 12 firms in the Report Card rated their brokerages lower by half a point or more in the "online account…

Building Your Business

A successful e-newsletter has six crucial components. Some advisors get two or three right, but few nail them all

McKenzie Esposito plays an important role in his family's financial advisory firm. As part of the firm's succession plan, he communicates well with the children…

When you suspect cognitive decline in an aging client, how can you ensure you serve that client's best interests while protecting his or her privacy?

Focus on Products

China, India and other Asian countries are benefiting from expanding middle classes and increased domestic consumption

When friends ask me to look at their portfolios, I get a front-row seat to the advice that a variety of advisors provide

Comment & Insight

Technology giants such as Facebook and Alphabet dominate the economy. Can limits be placed on that dominance?