David Reeve is CEO and co-founder of InvestorCOM Inc., which provides technology to asset-management firms in Canada to deal with increasing regulation and address the demand for more effective communication and disclosure.
David Reeve is CEO and co-founder of InvestorCOM Inc., which provides technology to asset-management firms in Canada to deal with increasing regulation and address the demand for more effective communication and disclosure.
Technology solutions can help advisors meet compliance obligations
How embracing technology can help you build stronger client relationships
Demographic changes will dramatically alter advisory practices
As millennials inherit their parents’ wealth, advisors will need to evolve their business practices
Three key steps to improve investor engagement and advisor success
Advisors and dealers are looking for strategies to remain compliant while managing costs and improving client satisfaction
Advisors could begin to use technology now to stay onside of the CSA’s proposed client-focused reforms when they take effect
Not only does adopting digital tools lead to happier clients, it also results in greater profitability and success for advisors
Compliance disclosure can be confusing to all parties, but there is an opportunity for advisors to provide “pain relief” and stand above their peers
By removing friction, adding convenience and changing the value proposition, you can protect your practice from the growing influence of robo-advisors
Today's product offering allows you to build globally diversified portfolios for responsible investors
How to communicate the essentials without getting lost in the weeds
Part 2 of a series on multi-factor ETFs
Why to consider multi-factor ETFs
Dispelling a misconception that has developed over time
Debunking the myth that ETFs cause market instability
There’s more to determining an ETF’s liquidity than just looking at its trading volume
Litigation risk exists even after you’re retired or unable to work
Sophisticated buyers will know what to look for to determine if it is a compliant business
The OSC says there is a lot of room for improvement in its 2019 summary report
Situations become complicated when couples aren’t on the same page about their goals
Help your clients navigate charitable donations, tax-gain donating and donor-advised funds
Help clients understand how previously announced tax changes could come to light
Help clients understand — and budget for — taxes on their foreign pensions
Investors who may have overcontributed to their TFSAs face harsh penalty tax
Advisors can deliver better outcomes for their clients by getting ahead of their regulatory obligations
Advisors can build trust with clients by explaining fees
How advisors can guard their vulnerable clients from financial exploitation and avoid the risk of regulatory action
For clients, information on their investments is now just a click away. Advisors can help minimize their overreaction to market movements.
Financial planners and financial advisors need to understand millennials’ preferences to gain their trust and business
Financial advisors can build deeper connections with clients by using active listening skills
Financial advisors should be aware of how to identify and engage effectively with vulnerable clients
Financial planners and advisors should be aware that the act may go beyond title protection
Technology solutions can help advisors meet compliance obligations
How embracing technology can help you build stronger client relationships
Demographic changes will dramatically alter advisory practices
As millennials inherit their parents’ wealth, advisors will need to evolve their business practices
The vigilant enforcement of professional standards is essential to protect consumers and to maintain the integrity of the financial planning profession
Financial planners need a strong understanding of the behavioural factors that come into play when creating and implementing a financial plan
The FSRA’s regulation of advisor and planner titles could influence policy in other jurisdictions
But the devil will be in the details
Why strengthening personal data protections poses a looming challenge for the Canadian investment industry
Why well-managed small and mid-size independent dealers are competing effectively
How the “notice and access” mechanism for proxy voting could be extended to other documents
Lower compliance costs will allow advisors to better serve smaller investors
Study finds causal evidence that retail investors will move assets into RI funds if it is made easier to do so
Upcoming disclosure requirements will provide a wealth of diversity data that goes beyond gender
What is sustainable finance, and what does the recent report from Canada’s Expert Panel on Sustainable Finance mean for advisors?
Men hold the vast majority of board seats and CEO positions in Canada. Gender lens investing aims to close the gap.
Studies show investors are largely satisfied with the advice they receive
The CSA’s renewed system project is an opportunity for the regulator to innovate
Getting a contact name early can help advisors manage issues before they arise
Research shows that behavioural insights can improve the way information is shared with investors
The insurance industry is taking a page from the mutual fund industry, leveraging technology to address mounting disclosure regulations
AI is slowly making its way into the wealth-management industry and will ultimately transform financial advisors’ role
Blockchain technology may transform financial services just as peer-to-peer file-sharing technology changed the music industry almost 20 years ago
Far from replacing interaction with real people, technology strengthens the financial advisor’s client service
Read and follow your firm’s guidelines on social media use and take the necessary steps to protect yourself
Although it’s costly to upgrade key IT systems, the costs of not doing so could be much greater
Hacktivism, ideological insiders and intelligence gathering are key sources of cyberattacks threating financial services firms
Now is the time to adopt a concerted cloud migration strategy because the security challenges associated with this technology will be on our radar screens…
Advisors and their clients stand to benefit when corporate leaders focus on building socially and environmentally responsible enterprises
A growing base of investors are looking for investments that contribute measurably to environmental and social sustainability
Corporate boards and executive teams that lack gender and cultural diversity risk missing out on opportunities to generate long-term value
You can play an active role in ensuring company executives and directors are working in the best interests of their shareholders
Those still timorous and uncertain about introducing a best interest duty have a duty, themselves, to become decisive
Every company can calculate non-GAAP metrics however they want, so there’s real risk of investors and markets being misled
Overcautious courts are erecting barriers to securities class actions, even though these lawsuits are essential for maintaining the integrity and fairness of our capital markets
Data show that investors routinely receive, or are at risk of receiving, seriously bad disclosure from reporting issuers more than a quarter of the time
Two key issues — the best-interests standard and reform of mutual fund fees — require timely and effective action
FAIR Canada supports exemptions that have the key features of rights offerings or private placements in compliance with the TSXV’s private placement rules
Current regulations assume that an investor’s wealth is a proxy for sophistication. This has to change
Paying fees for financial advice separately from those of financial products would result in price competition and better advice