Practice

Compliance check: The sky is the limit

a $30,000 fine a two-month suspension close supervision for six months Offence C: a $40,000 fine a two-month suspension The advisor may end up with a $110,000 fine, a six-month suspension and close supervision for six months when he returns to the firm, after he completes the CPH. Is this a sufficient incentive to ensure […]

By Ellen J. Bessner |November 23, 2002

3 min read

Can drug stocks cure a bad case of bear marketitis? – courtesy of Talvest Fund Management

An ounce of prevention might be worth a pound of cure, but don’t tell that to pharmaceutical sector investors. Now that this group is beginning to recover from a steady string of market declines in the first half of the year, investors are eager to scoop up bargains. Why the change in sentiment? It all […]

By Staff |November 19, 2002

2 min read

Put values first

Today’s new breed of advisor recognizes that the nature of the advisor-client relationship has changed, with discussions shifting from investment markets, products and performance toward life goal-setting, protecting the client’s future and life enjoyment. Over the course of the next couple of months, we will take a step-by-step look at ideas you can use to […]

By Barry LaValley |November 18, 2002

7 min read

Are your business owner clients looking to attract key employees?

Untitled Document Offering extra retirement savings plans can benefit both, but it pays to choose wisely. Company owners who need to attract and retain high-level people may be asking you how they can supplement their employees’ retirement income beyond RRSPs and pensions. There are several ways to do this, each with specific consequences for both […]

By Sun Life |October 8, 2002

3 min read