Why advisors struggle with client account statements — and how firms are adapting
From working groups to consulting with regulators, brokerages want to help smooth client conversations
- By: Sangjun (John) Han
- June 5, 2025 June 5, 2025
- 08:55
Top Stories in Newspaper
Brokerage Report Card 2025 main chart
How investment advisors rated their firm's support offerings and tools across 14 dealers
- By: IE Staff
- June 5, 2025 June 5, 2025
- 08:54
Addressing ‘technically weak’ tax assessments
Nearly a decade post-review, objections continue to take a toll
- By: Michelle Schriver
- June 1, 2025 June 10, 2025
- 00:01
Industry moves this week
Advisor moves to Raymond James, Manulife Wealth and ScotiaMcLeod, plus appointments at Centurion, CIRO, PSP and OSC
- By: Alisha Hiyate
- March 28, 2025 March 28, 2025
- 17:54
Crypto platform banned by OSC
The move follows a $2 million administrative penalty and Quebec ban by the Tribunal administratif des marchés financiers du Québec
- By: Jonathan Got
- March 10, 2025 March 10, 2025
- 16:47
OSC agenda consultation is underway, and it’s packed
Junk fees, open banking and more proposed for the regulator’s next fiscal year
- By: James Langton
- February 7, 2025 February 9, 2025
- 15:20
As iA moved early on AI, ‘everybody was at the table’
CTO Simon Roy says the technology will enable a more personal client experience
- By: Kevin Press
- February 7, 2025 February 9, 2025
- 15:19
Managing capital gains when moving to the U.S.
Leaving Canada means planning for departure tax, transfer of non-registered assets
- By: Michelle Schriver
- February 7, 2025 February 7, 2025
- 15:15
Still off-target
Target-date funds are a hit in the group retirement business — why not in the ETF market?
- By: Barry Choi
- February 7, 2025 February 7, 2025
- 15:14
Buying a book of business? What you need to know
Buyers must be prepared to compete on price, but fit is also important
- By: Alisha Hiyate
- February 7, 2025 February 10, 2025
- 15:13
A banner year for equity mutual funds
Big returns from the Magnificent Seven, and elsewhere
- By: Catherine Harris
- February 7, 2025 February 10, 2025
- 15:12
Alternative universe
Private equity, hedge funds and other alternative investments are having a moment. Advisors need to catch up
- By: Noushin Ziafati
- February 7, 2025 February 24, 2025
- 15:11
Private credit in an ETF wrapper
Accelerate is the first in Canada to launch an ETF that provides indirect exposure to private assets through BDCs
- By: Noushin Ziafati
- February 7, 2025 February 7, 2025
- 15:10
What are the toughest CFR challenges for firms?
Deadlines to implement the client-focused reforms were extended, and dealers are working out how to comply with the new requirements
- By: Katie Keir
- November 23, 2020 December 11, 2020
- 00:10
Regulators’ efforts to cut red tape continue
Adapting to the pandemic has revealed new efficiencies
- By: James Langton
- November 23, 2020 December 11, 2020
- 00:09
Regulators try to boost fintech adoption
From e-signatures to artificial intelligence, regulators are trying to get ahead
- By: Fiona Collie
- November 23, 2020 December 11, 2020
- 00:08
The paths to success
From stock market booms and busts to the rapid advance of technology and consolidation in the brokerage business, two veteran advisors describe how they met…
- By: Clare O’Hara
- September 18, 2014 November 1, 2019
- 23:00
How banks became 800-lb. gorillas
Twenty-five years ago, a "four pillars" policy kept the banking, insurance, investment and trust businesses legally separate. But with the toppling of that structure, Canada's…
- By: James Langton
- September 18, 2014 November 1, 2019
- 23:00
Making sense of the market
An increasingly varied ETF universe calls for a highly specialized strategist
- By: Jade Hemeon
- April 30, 2014 November 14, 2019
- 23:00
The decade of the exchange-traded fund
Once a passive, index-tracking product, ETFs now make up a diverse array of investment strategies
- By: Jade Hemeon
- April 30, 2014 November 14, 2019
- 23:00
Report Card on Banks 2024 summary video
A video breakdown of the 2024 Report Card on Banks themes
- By: Katie Keir
- October 15, 2024 October 10, 2024
- 08:53
All quiet on the bank-branch front
Planners and advisors just want to be well coached, paid fairly and provided with effective tools
- By: Katie Keir
- October 15, 2024 October 10, 2024
- 08:52
Bank advisors want better access to compliance departments
Branch planners and advisors say compliance support is important, but cited several hurdles
- By: Alisha Mughal
- October 15, 2024 October 10, 2024
- 08:51
Advisor loyalty grew for most wealth firms and banks
A breakdown of the Net Promoter Score results within 2025’s Advisors’ Report Card
- By: Katie Keir & Roland Inacay
- November 13, 2025 November 12, 2025
- 14:16
How we did it: Advisors’ Report Card 2025
Methodology for our annual Report Card series research
- By: Katie Keir
- November 13, 2025 November 12, 2025
- 14:15
The evolution of succession planning
Advisors, firms have gotten better at planning exits over the past decade
- By: Noushin Ziafati
- November 13, 2025 November 13, 2025
- 14:14
ETF Guide 2015: From the editor
In this, Investment Executive‘s (IE) second annual ETF Guide for financial advisors, we discuss some major trends in products and strategies in the exchange-traded fund…
- By: Tracy LeMay
- April 27, 2015 November 9, 2019
- 23:00
Building ETF portfolios
James Breech and cougar global integrate financial planning and investment management to meet clients' goals
- By: David Israelson
- April 27, 2015 November 9, 2019
- 23:00
ETFs by the basket
Reg Jackson says his clients were looking for a lower-cost alternative to mutual funds
- By: David Israelson
- April 27, 2015 November 9, 2019
- 23:00
Report Card on Banks and CUs 2015 main chart
How advisors rated their firms
- By: IE Staff
- June 18, 2015 November 9, 2019
- 23:00
Online access for clients is top-notch
Advisors praise their firms' online platforms, which have significant integration of investment and banking accounts
- By: Kelsey Rolfe
- June 18, 2015 November 9, 2019
- 23:00
Technology remains an area of concern
Advisors have many concerns about their firms' technology, and several firms have much room for improvement
- By: Anne-Marie Vettorel
- June 18, 2015 November 9, 2019
- 23:00
A great marriage
Robo-advisors are expected to add more sophisticated ETFs to their product lineups as the ETF industry continues to expand
- By: Fiona Collie
- April 24, 2016 November 9, 2019
- 23:00
The ETF club gets new members
Financial services firms large and small are moving into the field, which means more choice for your clients
- By: Jade Hemeon
- April 24, 2016 November 9, 2019
- 23:00
Portfolios for different seasons
Food for thought for two investors with dissimilar needs and goals, from two ETF experts
- By: Jade Hemeon
- April 24, 2016 November 9, 2019
- 23:00
Vibrant growth continues in Ontario
Higher wages could bolster consumer spending, but rising interest rates and stricter mortgage rules pose challenges for the housing market
- By: Fiona Collie
- February 5, 2018 November 9, 2019
- 00:19
Booming B.C. faces looming risks
Solid economic growth in B.C. is expected to continue. However, the new NDP government faces challenges
- By: Brian Lewis
- February 5, 2018 November 9, 2019
- 00:18
Alberta’s economy is on the mend
A resurgence in oil prices helped Alberta’s economy enjoy a healthy rebound in 2017, and further growth is expected this year
- By: Rudy Mezzetta
- February 5, 2018 November 9, 2019
- 00:17
Evergreen funds are gaining in popularity. Here’s why
The funds accounted for at least US$350 billion in global net asset value in 2023
- By: Noushin Ziafati
- November 11, 2024 November 8, 2024
- 00:10
In times of uncertainty, health-care ETFs offer a defensive investment choice
Demographics, tech advancements expected to drive growth in the sector
- By: Noushin Ziafati
- September 13, 2024 September 12, 2024
- 00:11
Investors interested in emerging markets funds that exclude China
Geopolitical tensions, concerns over weak returns fuel shift away from the world’s second-largest economy
- By: Noushin Ziafati
- June 5, 2024 June 4, 2024
- 09:11
A matter of conviction
A portfolio manager must have the discipline to stick to a process over time, especially during a crisis or a bear market
- By: Mary Hagerman
- October 12, 2021 October 18, 2021
- 00:17
Sustaining first-mover advantage
Steve Hawkins, president and CEO of Horizons ETFs, has successfully launched novel products
- By: Greg Dalgetty
- October 12, 2021 October 4, 2021
- 00:16
Four ETF trends to watch
Macroeconomic risks help drive growth
- By: Michelle Schriver
- October 12, 2021 August 22, 2022
- 00:12
Are emerging advisors getting what they need to succeed?
Guiding newer hires requires time and patience, and veteran advisors can’t always lead that effort
- By: Sai Tamanna Sharma
- June 5, 2025 June 5, 2025
- 14:47
What’s driving brokerage advisor satisfaction
Investments in technology and business support are needed, but so too is strategic consistency
- By: Katie Keir
- June 5, 2025 June 5, 2025
- 09:02
Culture tops pay, technology as most important to advisors
Four in 10 advisors said culture was the key thing firms should focus on, more than any other category group
- By: Roland Inacay
- June 5, 2025 June 5, 2025
- 09:01
Central banks’ interest rate increases carry great risk
Short-term interest rate tightening is likely to flatten the yield curve if not accompanied by expectations of higher future inflation
- By: Andrew Allentuck
- September 19, 2018 November 9, 2019
- 06:00
P.E.I.’s saving grace
Continued sluggishness in the U.S. and European economies
- By: Olivia Li
- February 6, 2012 October 28, 2019
- 12:43
N.B. outlook tied to U.S.
With forestry still listing and call centres suffering, N.B. continues to struggle
- By: Olivia Glauberzon
- February 6, 2012 October 28, 2019
- 12:38
New fund rule delays
Proposals would make alternative investments more accessible
- By: Fiona Collie
- June 22, 2018 October 31, 2019
- 00:16
Taking aim at capacity
New Nova Scotia law aims to balance right to independence and protection
- By: donalee Moulton
- October 13, 2017 October 31, 2019
- 01:00
Sun Life: Focus on innovation
Digital coach aims to support advisors rather than replace them
- By: Megan Harman
- October 13, 2017 October 31, 2019
- 01:00
How advisors can stand out in a crowd online
Be honest, transparent, consistent, advisors say
- By: Jonathan Got
- February 7, 2025 February 7, 2025
- 15:06
Former executive shares ‘the wealthy life’ with clients
Over a 30-year career, Sybil Verch sees opportunities where others see obstacles
- By: Michelle Schriver
- November 11, 2024 November 8, 2024
- 00:10
From the farm to finances, portfolio manager cuts a path on her own terms
For a young Penny Stayropoulos, financial planning was a beacon amid crisis
- By: Jeff Buckstein
- September 13, 2024 September 12, 2024
- 00:08
Closing the gaps in insurance regulation
Provincial authorities are targeting licensing exam security, MGAs, seg fund disclosures and other issues
- By: Melissa Shin
- May 13, 2024 May 31, 2024
- 00:13
ALDAs protect against longevity risk
Introduced in the 2019 federal budget, these annuities provide income beginning as late as age 85
- By: Renée Sylvestre-Williams
- May 13, 2024 May 10, 2024
- 00:12
How to help families through death claims
A successful claims process begins at the time of sale, say experienced advisors
- By: Kelsey Rolfe
- May 13, 2024 May 10, 2024
- 00:11
Advisor chargebacks are bad for the industry
The CSA is considering a ban on the practice
- By: IE Staff
- November 11, 2025 November 14, 2025
- 12:14
Gating isn’t a betrayal; it’s a foreseeable mismatch
Evergreen fund gating is natural, and will happen again
- By: Noah Shipman & Randy Garg
- November 11, 2025 November 11, 2025
- 10:04
Small businesses are hurting and financial advisors need to pay attention
This isn’t just an entrepreneur’s issue. It directly affects the advisors and institutions who serve these businesses
- By: Reece Tomlinson
- September 15, 2025 September 15, 2025
- 12:03
Great-West Lifeco posts Q3 profit of $1.2B
Assets under administration reach $3.5 billion
- By: Jonathan Got
- November 6, 2025 November 6, 2025
- 11:50
Insurance advisors value receptiveness, stability
Firms that responded to advisors' concerns and helped them solve problems were rated highest
- By: Katie Keir
- September 19, 2022 September 19, 2022
- 00:15
Insurance Advisors’ Report Card 2022 main chart
How insurance advisors rated their agencies' performance
- By: IE Staff
- September 19, 2022 July 25, 2024
- 00:14
What’s in a name?
Advisor credentials and titles are set to change, but an agreement on how appears to be a long way off
- By: Jim Middlemiss
- September 27, 2016 November 9, 2019
- 00:00
Crunch points: answers to your FAQs
There are some hidden shoals in the CRm2 regime. regulators offer advice on how to navigate them
- By: Jade Hemeon
- September 27, 2016 November 9, 2019
- 00:00
Q&A: Clear and open
Erez Blumberger of AUM Law Professional Corp. talks about educating clients on CRM2 reports
- By: IE Staff
- September 27, 2016 November 9, 2019
- 00:00
Insurance Advisor Report: How we did it
Through a new web survey, insurance advisors across Canada shared their working experiences
- By: IE Staff
- February 12, 2024 February 9, 2024
- 00:11
OSC efforts undermined by lobbying and politics, says audit
Report casts doubt on regulator’s independence
- By: James Langton
- December 3, 2021 December 31, 2021
- 13:47
Opportunities in smaller U.S. banks
Rising interest rates and reduced regulation may create options for U.S. banks that exploit niche markets and M&A strategies
- By: Catherine Harris
- May 31, 2017 October 31, 2019
- 23:40
Crypto investors not shaken in bear market
Lower prices and faith in the underlying tech have contributed to positive inflows, providers suggest
- By: Daniel Calabretta
- October 11, 2022 October 7, 2022
- 00:09
Back to earth
After two big years for high-flying names, manufacturers are following investors to more humble terrain
- By: Mark Burgess
- October 11, 2022 October 7, 2022
- 00:08
The high priest of passive investing
Author and analyst Eric Balchunas discusses John Bogle's legacy
- By: Maddie Johnson
- October 11, 2022 October 7, 2022
- 00:07
Dealer advisors are aiming for business precision and growth
The average dealer advisor was adjusting their client mix and refining their services coming into 2025
- By: James Langton
- September 12, 2025 September 15, 2025
- 09:21
New advisors in the dealer space look to colleagues for support
For developing advisors in this highly independent space, are firms and mentors stepping up?
- By: Roland Inacay
- September 12, 2025 December 4, 2025
- 09:20
Advisors getting more serious about succession planning
More firms are investing in this area, but advisors are asking for more hands-on guidance
- By: Noushin Ziafati
- September 12, 2025 September 15, 2025
- 09:19
Beware TFSA pitfalls for non-resident Canadians
In some cases, closing accounts before moving abroad might make sense
- By: Michael McKiernan
- March 13, 2023 March 10, 2023
- 00:10
Timely tax facts to share with clients
How section 166 certificate applies to underused housing tax, when HST applies to tips and deducting Covid benefit repayments
- By: Rudy Mezzetta
- March 13, 2023 March 10, 2023
- 00:09
Cryptoassets raise questions about foreign property disclosure
Taxpayers who do not seek advice regarding their offshore assets can easily run afoul of the T1135 reporting rules
- By: Michael McKiernan
- March 13, 2023 March 10, 2023
- 00:07
Barry McInerney’s reset
The former financial services CEO left his mark — and he’s not done yet
- By: Kevin Press
- November 11, 2025 December 9, 2025
- 12:16
Independent dealers tackle CIRO mandate
SRO consolidation helps level the playing field for firms
- By: Michelle Schriver
- September 15, 2025 September 15, 2025
- 12:02
Manulife Wealth’s ‘significant transformation’
CEO Richard McIntyre is facing backlash on technology rollouts and new advisor fees
- By: Jonathan Got
- September 15, 2025 September 15, 2025
- 12:00