Client communications | Investment Executive https://www.investmentexecutive.com/tag/client-communications/ Canada's news source for financial professionals Mon, 15 Sep 2025 16:01:39 +0000 en-US hourly 1 https://wordpress.org/?v=6.8.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Client communications | Investment Executive https://www.investmentexecutive.com/tag/client-communications/ 32 32 We’re not there yet on plain language https://www.investmentexecutive.com/newspaper_/comment-insight/were-not-there-yet-on-plain-language/ Mon, 15 Sep 2025 16:01:00 +0000 https://www.investmentexecutive.com/?p=519504 Editorial: There is room for improvement when it comes to customer-friendly communications in financial services

The post We’re not there yet on plain language appeared first on Investment Executive.

]]> CIRO tackles the dreaded account transfer problem https://www.investmentexecutive.com/news/from-the-regulators/ciro-tackles-the-dreaded-account-transfer-problem/ Thu, 10 Jul 2025 16:26:29 +0000 https://www.investmentexecutive.com/?p=514965 SRO proposes rule changes, calls for an industry-wide technological solution

The post CIRO tackles the dreaded account transfer problem appeared first on Investment Executive.

]]> Online trading firm settles CIRO allegations https://www.investmentexecutive.com/news/from-the-regulators/online-trading-firm-settles-ciro-allegations/ Tue, 27 May 2025 18:51:55 +0000 https://www.investmentexecutive.com/?p=510700 New firm failed to adequately review trading, client comms, SRO alleged

The post Online trading firm settles CIRO allegations appeared first on Investment Executive.

]]> Fitting securities rules for modern tech https://www.investmentexecutive.com/news/from-the-regulators/fitting-securities-rules-for-modern-tech/ Thu, 08 May 2025 18:39:45 +0000 https://www.investmentexecutive.com/?p=509331 FINRA highlights need to revise rules to match current technology

The post Fitting securities rules for modern tech appeared first on Investment Executive.

]]> FINRA aims to boost compliance, reduce burden https://www.investmentexecutive.com/news/from-the-regulators/finra-aims-to-boost-compliance-reduce-burden/ Tue, 25 Mar 2025 19:49:34 +0000 https://www.investmentexecutive.com/?p=505421 SRO previews initiatives to industry event

The post FINRA aims to boost compliance, reduce burden appeared first on Investment Executive.

]]> Clients like CRM2 statements but fees still a little fuzzy: survey https://www.investmentexecutive.com/news/industry-news/clients-like-crm2-statements-but-fees-still-a-little-fuzzy-survey/ Tue, 22 Oct 2024 11:15:09 +0000 https://www.investmentexecutive.com/?p=495130 Investment Funds Institute of Canada report finds inflation and interest rates led Canadians to invest less last year

The post Clients like CRM2 statements but fees still a little fuzzy: survey appeared first on Investment Executive.

]]> Younger investors less loyal, less trusting of advisors https://www.investmentexecutive.com/news/industry-news/younger-investors-less-loyal-less-trusting-of-advisors/ Wed, 16 Oct 2024 15:43:36 +0000 https://www.investmentexecutive.com/?p=494871 Survey suggests financial advisors emphasize value, build trust, communicate regularly

The post Younger investors less loyal, less trusting of advisors appeared first on Investment Executive.

]]> CFTC sanctions broker’s texting violations https://www.investmentexecutive.com/news/from-the-regulators/cftc-sanctions-brokers-texting-violations/ Mon, 23 Sep 2024 21:21:00 +0000 https://www.investmentexecutive.com/?p=493295 SEC opts not to penalize investment adviser that self-reported violations

The post CFTC sanctions broker’s texting violations appeared first on Investment Executive.

]]> Gaps remain for client relationship resources https://www.investmentexecutive.com/newspaper_/brokerage-report-card/gaps-remain-for-client-relationship-resources/ Wed, 05 Jun 2024 13:23:00 +0000 https://www.investmentexecutive.com/?p=486901 Firms are investing in technology but also must consider advisor training

The post Gaps remain for client relationship resources appeared first on Investment Executive.

]]> How to help families through death claims https://www.investmentexecutive.com/newspaper_/insurance-guide/how-to-help-families-through-death-claims/ Mon, 13 May 2024 04:11:00 +0000 https://www.investmentexecutive.com/?p=485263 A successful claims process begins at the time of sale, say experienced advisors

The post How to help families through death claims appeared first on Investment Executive.

]]>