Industry

Advisors prep for busy 2006

Whether it’s reminding clients to diversify, prepping for the baby boomer retirement migration, or just brushing up on client service and practice management techniques, advisors are primed and eager to move their businesses into 2006. Lorne Schnell of Assante Capital Management in Regina will focus on creating more formalized processes on the business management side […]

By Heidi Staseson |December 29, 2005

5 min read

IFIC chair seeks common ground among members

Heading into 2006, the chair of a trade association whose members generate a myriad of products sold by advisors plan to continue working to clarify what the association is — and is not. During a year-end interview with Advisor.ca, Brenda Vince — confirmed as IFIC chair in September — stressed the parallel between the evolution […]

By Al Emid |December 28, 2005

3 min read

Briefly:

(December 30, 2005) Oppenheimer Holdings, a Toronto-based brokerage whose main operations are in the U.S., said it will pay US$4.4 million to settle regulatory probes into money laundering and supervisory failings with both the New York Stock Exchange and the National Association of Securities Dealers. The probes stemmed from a period of rapid expansion of […]

By Staff |December 28, 2005

7 min read

Under the 49th: U.S. regulatory update

Utilities Personnel management Legal expenses Internet service Email software Website design Accounting fees and software Rent Salaries (including research staff) Telephone lines Business supplies Office furniture Office equipment Office equipment Office furniture Business supplies Telephone lines Salaries (including research staff) Rent Accounting fees and software Website design Email software Internet service Legal expenses Personnel management […]

By Philip Porado |December 23, 2005

3 min read