Planning and Advice

Estate planning for the incapacitated

In Canada and around the world people today are living longer. But higher life expectancies can be a mixed blessing. As we age, we face the possibility of myriad health challenges, including dementia and other forms of mental incapacity. Physical illness or a sudden life-threatening situation can render an elderly person incapacitated. What happens when […]

By Akua Carmichael |January 1, 2010

5 min read

Regulator provides complaint handling guidance

While most advisors were wrapping presents, the Investment Industry Regulatory Organization of Canada was putting finishing touches on some new complaint handling rules that will create new requirements for securities dealers and registered reps. Among the changes is a requirement that firms appoint a designated complaints officer who has the experience and authority to oversee […]

By Philip Porado |January 1, 2010

4 min read

Compliance resolutions for 2010

I’ve had it. This year I’m going to do things differently. I’m going to learn from my mistakes. I’m going to chart a new course and follow it to become a better advisor; and a better me. Forget the gym. I’ve wasted too much money not going there. Forget dieting. Doritos are delicious. No, I’ve […]

By Harper Fraze |January 1, 2010

5 min read

Pay attention to turnover rates

Your advisor may recommend a long-term approach, but how many funds follow that advice? One thing that I find intriguing about the mutual fund industry is how often it contravenes its own collective advice. Comparing word and deed can lead to some fascinating insights. A practical example I would offer is in regard to portfolio […]

By John J. De Goey |December 24, 2009

6 min read