Industry News

What to do when clients break market rules

In its 2014 report, IIROC identified many cases where firms and advisors hadn’t fulfilled their obligations as efficient market gatekeepers. So, firms need to more closely monitor the trading activities of both advisors and their clients, especially if clients have been granted direct access to markets (see “Learn the lingo”). The rules Firms must have […]

November 6, 2015

4 min read

Insights for working with the wealthy

Your clients are loyal. While our Investor Insights* research shows they probably have other financial advisors, it also shows that, on average, you manage three-quarters of your clients’ wealth.

By Staff |November 6, 2015

1 min read

Remove barriers to divorce planning

Most newlyweds don’t realize that, in opting for a life together, they’ve also opted into an intricate legal and financial framework, which includes tax filing privileges, estate rollovers, spousal immunity and—if the marriage breaks down—a default property division regime. That regime, contrary to popular belief, is not “each spouse gets half.” Even in equalization provinces […]

By Melissa Shin |November 6, 2015

3 min read

Why change your registration?

Our research shows 15% of you are planning to change or augment your registration in the next five years. And, a quarter of you are considering becoming discretionary managers

By Staff |November 6, 2015

1 min read