Industry News

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Industry

Planning not portfolios should come first

When she started in the profession in 1981, a securities licence wasn’t in Kathleen Clough’s sights. The PWL Capital wealth manager, who counts a CFP and RFP among her designations, originally went to work for a firm that did high-level financial planning for senior executives. And, until seven years ago, she focused solely on non-transactional […]

By Philip Porado |May 14, 2010

3 min read

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Industry

Sun Life launches new mutual fund company

Sun Life has announced it is entering the mutual fund business, based on the investment teams already in place at its U.S.-based asset manager, MFS Investment Management. “We are expanding our wealth business in Canada by bringing more choices and innovative products to retail investors,” said Kevin Dougherty, president, Sun Life Financial Canada and president, […]

By Staff |May 13, 2010

3 min read

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Industry

New hire? Send them to compliance

Adding new advisors to the team is always exciting. The prospect of additional business can tempt a dealer to rush through the paperwork, but signing them up without the approval of the compliance department could leave the firm with a ticking time bomb. “When a new rep comes into the firm without due diligence done, […]

By Vikram Barhat |May 13, 2010

4 min read

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Industry

Bulletproof your beneficiaries

Just how do you write a will so that everyone will be happy? When it comes to leaving your estate to a blended family, this task becomes especially tricky. In a blended family situation, you or your new spouse may have children from a previous marriage. You may have children together. And for some families, […]

By Mike George |May 13, 2010

5 min read