by admin | Aug 29, 2017 | Blog, Regulatory
Becoming a financial advisor means embarking on a mission of lifelong learning. Whether through courses, workshops, conferences or webinars, continuing education is an ongoing part of every advisor’s career, so be prepared to update your training occasionally. There...
by admin | Jul 18, 2017 | Blog, Regulatory
The investment funds industry is ready for more robust fee disclosure Following the successful rollout of Client Relationship Model – Phase 2 (“CRM2”), the Investment Funds Institute of Canada (“IFIC”) believes that the fee transparency conversation is ready to...
by admin | Jun 20, 2017 | Blog, Industry Insights, Regulatory
How the industry is getting ready to switch from T+3 to T+2 One day may not seem like a big deal but, when it comes to trade settlements, it is. In fact, it’s a wide-ranging, highly involved shift that involves markets across the globe. Many regions have already made...
by admin | Feb 28, 2017 | Blog, Industry Insights, Regulatory
When investors think of investments, they usually conjure up images of stocks trading on a stock exchange or purchasing a mutual fund. These investments are issued by prospectus, which affords investors with a level of protection. Prospectuses don’t guarantee...
by admin | Feb 7, 2017 | Blog, Regulatory
Keeping an investor’s tax bill low can mean higher effective returns While tax considerations should never dictate an investor’s choice of mutual funds, they are still an important part of the selection process. Understanding how different types of mutual funds are...
by admin | Jan 31, 2017 | Blog, Regulatory
The “Client Relationship Model” (CRM) is a series of initiatives that touch on every aspect of the relationship between investors and participants (including dealers and advisors) in the investment industry. Through CRM, investors will get clear, thorough,...
