Planning and Advice

IDA advisors facing CE deadline

(October 2005) The IDA is calling on its advisors and member firms to finish what they started. That’s the basic message conveyed in a friendly letter circulating this month, reminding advisors of the upcoming deadline — and “offside” penalties — for completing continuing education (CE) requirements — part of the IDA’s mandate stipulating that securities […]

By Heidi Staseson |October 6, 2005

4 min read

The rules of niche marketing

(October 2005) A lot of financial professionals say they serve a "niche." That’s fine, but when I ask them to define that niche, it becomes pretty clear they haven’t thought a lot about what niche marketing is, and how it works. It’s one thing to say you serve a market niche. It’s quite another to […]

By Jeff Thorsteinson |October 6, 2005

4 min read

Identity theft on the rise

(September 28, 2005) It’s been a banner year for identity thieves. High profile security breaches in the past have highlighted the growing problems associated with collecting massive amounts of personal information and compliance departments, hopefully, are well aware of privacy legislation, but poor information management practices on the part of organizations is still the single […]

By Kate McCaffery |September 28, 2005

4 min read

IFIC conference update: Working with the big banks

(September 28, 2005) Despite posing formidable competition within both the fund manufacturing and distribution networks, the major banks have insinuated themselves so deeply in the investment industry, that competitors on both sides feel compelled to partner with them, according to an industry panel at IFIC’s annual conference in Toronto on Wednesday. “The banks are well […]

By Steven Lamb |September 28, 2005

3 min read