David Reeve is CEO of InvestorCOM Inc., a leading compliance technology provider to the wealth management industry.
David Reeve is CEO of InvestorCOM Inc., a leading compliance technology provider to the wealth management industry.
Opportunities and challenges must be weighed
Tech-assisted recommendations can improve client outcomes
An InvestorCOM analysis of KYP outcomes provides positive evidence
Position yourself to effectively address clients’ evolving needs and expectations
This emerging model requires investment in integrated tech
Tech can help protect firms and advisors against two key risks
Tech adoption isn’t optional given client expectations and trends
Leverage digital momentum to capitalize on trends
Tech frees advisors to focus on building successful practices
Client attrition trends and regulatory reform demand digital adoption
Ideas for advisors and firms to address the challenge
Six ideas to fill the service gap and grow your business
Real talk about fees and value is good for business
Here’s how to prepare for greater fee transparency
Total cost reporting, ESG challenges discussed at IFIC conference
Annual IFIC survey uncovers opportunity to improve investor understanding
IFIC outlines current initiatives, from supporting CIRO to surveying investors
IFIC’s busy agenda includes total cost reporting, new SRO, research and more
Reach out to clients to ensure they understand the changes and implications
Help your business-owner client seize the opportunity to defer tax
Go to the head of the class with these tax tips
Advisor-client conversation could help avoid costly overcontribution error
Mitigate your risk amid potential enforcement delays, CFR audits
Protect your business, reputation and clients by knowing your rights and obligations
Follow these tips to protect your licence and reputation
Protect yourself by creating a robust client communication trail
Opportunities and challenges must be weighed
Tech-assisted recommendations can improve client outcomes
An InvestorCOM analysis of KYP outcomes provides positive evidence
Position yourself to effectively address clients’ evolving needs and expectations
Evolving expectations leave some managers struggling
Opinion: The backlash has limited prospects for four reasons
The goal is to create a common language for the issuance of financial instruments
Opinion: Investors want leadership in sustainability, and transparency will help them find it
World Financial Planning Day offers opportunity to consider the profession’s critical role
Professional financial advice is in demand as millennials and gen Z inherit and accumulate wealth
Worldwide collaboration strengthens standards and advocacy, and leverages leadership
Technical, professional and interpersonal skills are key to help clients achieve financial wellness
Opinion: The answer comes down to diversification and liquidity factors
Opinion: The cease-trade order on Emerge ETFs provides a cautionary tale for investors and advisors
Opinion: Women know more about investing than they think, writes Mary Hagerman
Digging deeper into ETFs and portfolio construction
Federal budget did little to invigorate sluggish investment spending
Tech, profound shocks have changed investor behaviour
A new approach is needed to replace failed government programs
Regulators require internal compliance expertise
Regulatory efficiency saves costs and ultimately benefits investors
Advisors play an important role in enhancing resiliency
The best solution to the complex transition may be flexibility
The delivery of policy shouldn’t be a last step
Get the inside scoop, from fund features to volatility and risk
Volatility is stressful but not novel, and ETFs can work in a jarring investing climate
An enhanced Canadian ESG identification framework is advancing on a foundation of international and domestic norms
The CFRs are really about formalizing and documenting processes to prove they’re followed
Identify companies that understand the difference
Help clients identify companies with meaningful purpose
The increase in ESG reporting hasn’t been accompanied by improvements to society and the environment
The communities most affected by changing climatic conditions are the least likely to be invited to participate in discussions
Services include addressing investor requirements and mitigating compliance risk
Alain Brisebois of CWP Energy discusses these often-misunderstood products
Erika Toth of BMO Global Asset Management shares her thoughts on the ETF landscape
Vincent Beaulieu of Fiera Capital discusses his firm’s approach to ESG analysis
In his final column, Cary List shares his thoughts on the future of financial planning
The Financial Consumer Agency of Canada’s renewed national strategy for financial literacy can help Canadians focus on the future
Financial planners can play a key role in rebuilding Canadians’ confidence
A new regulatory framework, years in the making, is an opportunity for Ontario to be a model for other provinces
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
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