Demonstrate and discuss your regulatory requirements with clients, IFB says
A conversation with a stockbroker sparked Brandt Butt’s initial interest in finance
Richardson Wealth parent firm posted $5.3-million net loss in first quarter
Advisors should “show a less rosy picture” than the DSIR
Outdated processes can ruin client relationships before they begin
Fees and disappointing returns are rarely deal breakers
Like Ontario and Saskatchewan, the province will regulate "financial advisor" and "financial planner"
Protect yourself by creating a robust client communication trail
Critics say current rules disadvantage retail investors and advisors
No matter where you are in your career, compliance requirements are a must