Practice

Securing clients for life: Part One

A few months ago, two respected money management firms — one bank-owned brokerage and one discretionary investment counsel — made compelling pitches to an ultra-conservative Toronto couple on how they would manage the couple’s $2 million non-registered portfolio.

By Sheila Avari |May 5, 2011

4 min read

For Branch Managers Only: Detecting undisclosed business

As branch manager you are in the best position to detect undisclosed outside business activity and other situations that can cause conflict of interest.

By Mark Ziebarth |May 5, 2011

3 min read

National regulator could cure arbitrage

Done right, the creation of a national securities regulator would provide a uniform set of rules for investment dealers, ensuring everyone was playing on a level field. Done wrong, it would create even more opportunity for regulatory arbitrage than already exists. Now that the Conservative Party has its majority, the national regulator seems more likely […]

By Vikram Barhat |May 4, 2011

3 min read

Nominee system saves time and money

For over 15 years I was happily running my practice almost 100% off book, direct with fund companies. A little over a year ago, I made the switch from the MFDA to IIROC. Under the IIROC platform, it’s not really an option.

By Robert Abboud |May 4, 2011

4 min read