Technology

David Reeve

David Reeve is CEO of InvestorCOM Inc., a leading compliance technology provider to the wealth management industry.

Regulators will expect an advisor’s analysis to be documented and sufficiently thorough

  • April 1, 2021 April 1, 2021
  • 15:04

Frictionless, relevant disclosure is critical to building trust with clients

  • February 12, 2021 February 12, 2021
  • 15:15

The pandemic has made digital transformation a top priority

  • October 30, 2020 October 30, 2020
  • 15:00

Advisors may have to consider 1 million data points per day when the CFRs come into force

  • September 4, 2020 September 8, 2020
  • 15:56

Effective compliance measures mean you’re less likely to lose clients

  • July 10, 2020 July 10, 2020
  • 16:21

Advisors and dealers are rethinking their pre-coronavirus routine of serving clients from their offices

  • May 20, 2020 May 20, 2020
  • 10:37

How being transparent with your clients can help build stronger relationships

  • March 20, 2020 March 20, 2020
  • 16:09

Using technology to augment your practice can help strengthen your relationships with clients

  • January 24, 2020 January 24, 2020
  • 16:18

Technology solutions can help advisors meet compliance obligations

  • November 8, 2019 January 22, 2020
  • 16:20

How embracing technology can help you build stronger client relationships

  • September 13, 2019 November 10, 2019
  • 16:24

More columnists

Investment Funds

Paul Bourque

A historic period of regulatory reform

New regulations will permanently reshape the advisor-client relationship

  • April 7, 2021 April 7, 2021
  • 18:25

Canadian investors continue to grow wealth through investment funds

Canadian investment fund sales and AUM saw a full rebound in 2020

  • February 10, 2021 February 10, 2021
  • 22:26

Why Canada needs a single SRO

Consolidating the MFDA and IIROC would ultimately benefit investors, writes Paul Bourque

  • December 9, 2020 December 10, 2020
  • 15:00

How are investors responding to enhanced disclosure?

Surveys show that the introduction of Fund Facts and CRM2 reports is achieving policy objectives

  • October 28, 2020 October 28, 2020
  • 15:53
Technology

David Reeve

Get ready to show your work under the client-focused reforms

Regulators will expect an advisor’s analysis to be documented and sufficiently thorough

  • April 1, 2021 April 1, 2021
  • 15:04

Full disclosure: How to turn compliance into a competitive advantage

Frictionless, relevant disclosure is critical to building trust with clients

  • February 12, 2021 February 12, 2021
  • 15:15

The acute impact of Covid-19 on digital wealth transformation

The pandemic has made digital transformation a top priority

  • October 30, 2020 October 30, 2020
  • 15:00

Let technology do what no human is capable of

Advisors may have to consider 1 million data points per day when the CFRs come into force

  • September 4, 2020 September 8, 2020
  • 15:56
Industry Perspectives

Ian Russell

Positive surprises during the pandemic

The changes ushered in by Covid-19 will have a long-term impact

  • March 31, 2021 March 31, 2021
  • 15:19

Dealers pursue strategic partnerships to offer alternative investments to clients

A number of smaller investment dealers have made acquisitions to improve the depth of their product shelves

  • February 3, 2021 February 3, 2021
  • 15:00

Helping different generations meet their retirement goals

Continued transformation and innovation is needed to meet the demands of baby boomers and millennials

  • November 18, 2020 November 18, 2020
  • 16:51

The coming battleground for retail distribution

The recent uptick in small advisory firms reflects several factors affecting the Canadian wealth business

  • October 6, 2020 October 6, 2020
  • 09:35
Focus on Financial Planning

Cary List

The future has never looked brighter

In his final column, Cary List shares his thoughts on the future of financial planning

  • March 26, 2021 March 26, 2021
  • 15:00

Financial literacy: taking the long view

The Financial Consumer Agency of Canada’s renewed national strategy for financial literacy can help Canadians focus on the future

  • January 29, 2021 January 29, 2021
  • 15:00

Toward a grand renewal

Financial planners can play a key role in rebuilding Canadians’ confidence

  • November 27, 2020 November 26, 2020
  • 15:00

On the cusp of momentous change in Ontario

A new regulatory framework, years in the making, is an opportunity for Ontario to be a model for other provinces

  • October 2, 2020 October 2, 2020
  • 17:57
Compliance CX

Susan Silma

How enhanced KYC requirements are changing client conversations

You can build stronger relationships with clients by implementing new requirements now

  • March 24, 2021 March 24, 2021
  • 15:00

How to talk to clients about the client-focused reforms

Educate and empower clients with information that matters to them

  • January 27, 2021 March 24, 2021
  • 15:49

Value for fees: What investors now expect from their advisors

Changing investor expectations create new opportunities for advisors

  • November 4, 2020 November 4, 2020
  • 15:58

From crisis to opportunity

How you can provide value for clients in a changing world

  • September 9, 2020 September 9, 2020
  • 20:16
Tax Matters

Jamie Golombek

Worried about a possible increase to the capital gains inclusion rate?

Options for your clients to consider if they’re concerned about the inclusion rate increasing

  • March 19, 2021 March 19, 2021
  • 16:00

Why clients should contribute to RRSPs before the deadline

Some clients may be reluctant to maximize their RRSPs for fear of missing out on other tax advantages

  • February 19, 2021 February 19, 2021
  • 14:28

How should clients claim home office expenses this tax season?

Help your clients choose between the detailed method and a temporary flat-rate method 

  • January 22, 2021 January 22, 2021
  • 15:00

Help clients plan for tax-efficient charitable giving

Three topics to discuss with your clients before the end of the year

  • December 11, 2020 December 10, 2020
  • 15:00

Too old for ETFs?

Clients with short time horizons may feel that indexed investing isn’t for them — but it can still work under the right conditions

  • March 9, 2021 March 9, 2021
  • 16:00

The time is right for ESG ETFs

One advisor explains why she’s seizing this moment to talk to clients about responsible investing

  • December 1, 2020 November 30, 2020
  • 16:00

How I keep clients invested during a crisis

Context and an ETF-based strategy help me to manage investor emotions

  • September 1, 2020 August 31, 2020
  • 16:00

How my investment strategy has fared during the crisis

A financial advisor talks about how her ETF portfolios have held up under market stress

  • June 2, 2020 June 1, 2020
  • 16:00

Integrating ESG factors into portfolio management

Vincent Beaulieu of Fiera Capital discusses his firm’s approach to ESG analysis

  • March 5, 2021 March 5, 2021
  • 13:52
Advisor at Risk

Ellen Bessner

Don’t let client preferences come before your legal obligations

Clients may prefer communicating by text, but texting clients comes with risks

  • February 2, 2021 February 2, 2021
  • 16:22

Video: Think small to feel better

Ellen Bessner returns with one last Positive Note for 2020

  • December 1, 2020 December 15, 2020
  • 15:41

Should you be penalized for being prudent with clients’ portfolios?

Sometimes it’s suitable for your clients’ investments to be less risky than their maximum risk tolerance

  • October 16, 2020 October 16, 2020
  • 16:04

An ounce of prevention is worth a pound of cure

Now is the time to update your clients’ KYC and think about their risk capacity

  • September 18, 2020 September 18, 2020
  • 16:16
ESG and DEI

Shilpa Tiwari

Why don’t women of colour have a seat at the boardroom table?

Black, Indigenous and women of colour have been “leaning in” most of their lives

  • January 26, 2021 January 26, 2021
  • 15:26
Responsible Investing

Dustyn Lanz

Six sustainable finance trends to watch in 2021

Environmental and social issues are expected to dominate proxy season, and ESG disclosure standards are on the way

  • January 8, 2021 January 8, 2021
  • 15:17

Why diversity and inclusion are important for investment analysis

Four concrete reasons why D&I is important from an investment management perspective

  • October 19, 2020 October 20, 2020
  • 16:50

Now is a moment for action

How investors can advance racial justice in their portfolios

  • July 17, 2020 July 17, 2020
  • 16:00

ESG and Covid-19: Four market trends

Social issues move front and centre as ESG funds prove their mettle

  • April 20, 2020 April 20, 2020
  • 16:53

Are ETFs riskier than mutual funds?

It’s the underlying holdings that are important — not the structure of the investment

  • February 4, 2020 February 3, 2020
  • 16:00

Eight tips for trading ETFs

Make sure you’re getting the most out of your trades

  • January 7, 2020 January 3, 2020
  • 16:00

Myth: ETFs can “become” the market

Dispelling a misconception that has developed over time

  • December 3, 2019 January 8, 2020
  • 16:00

Could ETFs cause a market crash?

Debunking the myth that ETFs cause market instability

  • September 3, 2019 November 17, 2019
  • 15:00
Focus on Financial Planning

Keith Costello

Millennials see retirement and financial planning differently than other generations

Financial planners and financial advisors need to understand millennials’ preferences to gain their trust and business

  • November 15, 2019 November 16, 2019
  • 15:31

Listening is key to conversation

Financial advisors can build deeper connections with clients by using active listening skills

  • September 20, 2019 November 16, 2019
  • 10:50

Vulnerable clients need special care and due diligence

Financial advisors should be aware of how to identify and engage effectively with vulnerable clients

  • August 7, 2019 November 16, 2019
  • 17:02

Deciphering Ontario’s Financial Professionals Title Protection Act

Financial planners and advisors should be aware that the act may go beyond title protection

  • May 31, 2019 November 16, 2019
  • 15:54

Technology will drive harmonization, regulators say

The insurance industry is taking a page from the mutual fund industry, leveraging technology to address mounting disclosure regulations

  • January 2, 2018 November 14, 2019
  • 10:30

AI is not just another fad

AI is slowly making its way into the wealth-management industry and will ultimately transform financial advisors’ role

  • October 29, 2017 November 14, 2019
  • 13:00

Is financial services the next music industry?

Blockchain technology may transform financial services just as peer-to-peer file-sharing technology changed the music industry almost 20 years ago

  • September 4, 2017 November 14, 2019
  • 17:00

Clients want humans, not robots

Far from replacing interaction with real people, technology strengthens the financial advisor’s client service

  • July 10, 2017 November 14, 2019
  • 05:00
Cybersecurity

Yan Huard

Managing the risks related to social media

Read and follow your firm’s guidelines on social media use and take the necessary steps to protect yourself

  • September 20, 2017 November 17, 2019
  • 16:20

Why security professionals fell short on ransomware attacks

Although it’s costly to upgrade key IT systems, the costs of not doing so could be much greater

  • July 27, 2017 November 17, 2019
  • 05:00

Cyberthreats extend beyond money

Hacktivism, ideological insiders and intelligence gathering are key sources of cyberattacks threating financial services firms

  • May 25, 2017 November 17, 2019
  • 09:30

Cloud computing: Bringing light to security issues

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…

  • March 23, 2017 November 17, 2019
  • 06:00
Responsible Investing

Deb Abbey

The need for sustainable business supply chains is growing

Advisors and their clients stand to benefit when corporate leaders focus on building socially and environmentally responsible enterprises

  • February 21, 2017 November 17, 2019
  • 06:00

Opportunity knocks for investors who want to make an impact

A growing base of investors are looking for investments that contribute measurably to environmental and social sustainability

  • October 20, 2016 November 17, 2019
  • 05:00

Diversity makes dollars and sense

Corporate boards and executive teams that lack gender and cultural diversity risk missing out on opportunities to generate long-term value

  • August 18, 2016 November 17, 2019
  • 05:00

Good corporate governance matters

You can play an active role in ensuring company executives and directors are working in the best interests of their shareholders

  • June 16, 2016 November 17, 2019
  • 05:00
Protecting Investors

Neil Gross

Be bold, regulators

Those still timorous and uncertain about introducing a best interest duty have a duty, themselves, to become decisive

  • October 31, 2016 November 10, 2019
  • 05:00

Non-GAAP metrics: investors’ little helpers or harmful nonsense?

Every company can calculate non-GAAP metrics however they want, so there’s real risk of investors and markets being misled

  • October 3, 2016 November 10, 2019
  • 05:00

Class dismissed

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

  • September 6, 2016 November 10, 2019
  • 09:00

Why is deficient issuer disclosure allowed to persist?

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

  • August 8, 2016 November 10, 2019
  • 06:30
Protecting Investors

Ermanno Pascutto

The CSA must act on critical reforms

Two key issues — the best-interests standard and reform of mutual fund fees — require timely and effective action

  • March 2, 2014 November 10, 2019
  • 16:31

Treat shareholders fairly when venture issuers raise capital

FAIR Canada supports exemptions that have the key features of rights offerings or private placements in compliance with the TSXV’s private placement rules

  • February 3, 2014 November 10, 2019
  • 06:15

Reform of accredited investor exemption is needed

Current regulations assume that an investor’s wealth is a proxy for sophistication. This has to change

  • January 6, 2014 November 10, 2019
  • 06:30

Canadians deserve real price competition in mutual funds

Paying fees for financial advice separately from those of financial products would result in price competition and better advice

  • November 25, 2013 November 10, 2019
  • 06:00