News and resources for Canada's top financial advisors
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National securities regulator would save $40 million a year, study says Offshore account ownership must be disclosed, IDA says Retail dealers surviving as profits collapse Market cons facing longer jail sentences, expert says (June 23, 2003) Convicted fraud artists and money launderers could face stiffer sentences under proposed new federal legislation, according to an expert […]
By Doug Watt |June 23, 2003
2 min read
Roadblocks to family wealth planning and their solutions What’s on the mind of one of Canada’s most experienced insurance advisors? (June 23, 2003) The Million Dollar Round Table (MDRT) annual meeting kicked off in Las Vegas on June 22 and runs through June 25. Advisor.ca caught up with long-time MDRT member David Wm. Brown, columnist […]
By Sheila Avari |June 23, 2003
3 min read
Offshore account ownership must be disclosed, IDA says Retail dealers surviving as profits collapse Market cons facing longer jail sentences, expert says (June 23, 2003) The net number of retail broker firms in Canada has held steady over the last few years, despite a collapse in their profitability. The IDA has about 150 retail member […]
By Darin Diehl |June 23, 2003
4 min read
National securities regulator would save $40 million a year, study says Offshore account ownership must be disclosed, IDA says Retail dealers surviving as profits collapse Market cons facing longer jail sentences, expert says (June 23, 2003) The IDA is moving quickly to match international recommendations intended to combat money laundering. The IDA’s board of directors […]
(June 20, 2003) Maybe it was just a friendly poker game, but an Oakville, Ont.-based advisor doesn’t think so. He wants to warn others about a potential scam aimed directly at the financial advice community. Tim Niblett, president of Strategic Financial Planners, received a call last week from a potential client claiming to have $700,000 […]
By Doug Watt |June 20, 2003
(June 20, 2003) It looks like the Advisor.ca story about the Saskatchewan advisor who is being disciplined by the Ontario Securities Commission (OSC) really struck a chord with our readers. They’ve been sounding off in our new and improved Talvest Town Hall Free For All and, perhaps not surprisingly, are coming down on the side […]
By Steven Lamb |June 20, 2003
(June 19, 2003) A Saskatchewan advisor reprimanded by the Ontario Securities Commission (OSC) for working with out-of-province clients says he’ll grudgingly accept his punishment. Martin Bernier, a senior advisor with Assante in Saskatoon, has been ordered to complete a basic industry course, despite the fact that he’s worked in financial services for 14 years and […]
By Doug Watt |June 19, 2003
“Bold and aggressive” plan unveiled to reposition regulatory model Association elects new national board for 2003-2004 Leveraging: The good, the bad and the ugly Maritime Life chief reminds advisors true value is in client relationships Taking stock a little early with association’s chair More Advocis Conference Coverage Taking stock a little early with association’s chair […]
By John Craig |June 19, 2003
(June 18, 2003) Representatives from the Ontario Securities Commission (OSC) and the Alberta Securities Commission (ASC) fielded lots of questions at the second national summit on income trusts in Toronto last week, sponsored by the Canadian Institute. The regulators provided an update on initiatives underway to crack down on income trusts in both provinces. Both […]
By Caroline Cakebread |June 18, 2003
Panel discusses economics, investment, U.S. and good times ahead for Canada Insider tips on buying a book of business “Bold and aggressive” plan unveiled to reposition regulatory model Association elects new national board for 2003-2004 Leveraging: The good, the bad and the ugly Maritime Life chief reminds advisors true value is in client relationships Taking […]
By John Craig |June 18, 2003
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