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.
Why segmenting product shelves into peer groups can help meet regulatory challenges
Reducing product offerings for the sake of KYP is unlikely to serve the investor’s best interest
Regulators will expect an advisor’s analysis to be documented and sufficiently thorough
Frictionless, relevant disclosure is critical to building trust with clients
The pandemic has made digital transformation a top priority
Advisors may have to consider 1 million data points per day when the CFRs come into force
Effective compliance measures mean you’re less likely to lose clients
Advisors and dealers are rethinking their pre-coronavirus routine of serving clients from their offices
How being transparent with your clients can help build stronger relationships
Using technology to augment your practice can help strengthen your relationships with clients
Two forms can eliminate a tax refund for 2023
Consider discussing these items at your next client meeting
Client overcontributed, had income below basic personal amount
A client example illustrates the importance of currency calculations
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
Protect yourself by creating a robust client communication trail
No matter where you are in your career, compliance requirements are a must
Teach clients to meet you halfway — here’s how
Advisors must show that clients understood an investment and its risks
Opinion: Women know more about investing than they think, writes Mary Hagerman
Digging deeper into ETFs and portfolio construction
If we want to serve our clients’ children, we must be comfortable teaching the basics of investing
Long-term conviction is often required if these strategies are to pay off over time
Here are six ways to demonstrate value to clients
Regulation can help firms and advisors deliver better client outcomes
TCR is coming for investment and seg funds
Support a maturing demographic by adapting to changing needs
Opinion: Investors want leadership in sustainability, and transparency will help them find it
As a constellation of social risks emerge, research points to opportunities for investors
The province is granting mining claims to battery mineral exploration in conservation zones
Supportive market forces outweigh growing pains
A crucial measure of Canadians’ financial health has weakened, but together we can strengthen it
Realizing technology’s full potential for the profession requires a thoughtful, proactive approach
It’s time to talk about attracting new talent to the profession
Diversity, equity and inclusion are essential to enhancing access to financial planning
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
Tech, profound shocks have changed investor behaviour
A new approach is needed to replace failed government programs
Regulators require internal compliance expertise
Advisors and firms are well positioned to instil investor confidence
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