Industry News

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IDA boss weighs in on passport system

(November 27, 2003) The provinces can easily move to a passport system for securities firms and registrants by adopting a couple of simple principles, says Joe Oliver, president of the IDA. A committee of provincial finance ministers set up to consider ways to reform the country’s securities regulation system has focused on the passport model, […]

By Doug Watt |November 27, 2003

3 min read

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CCRA warns on in-kind charity donations

(November 26, 2003) The federal government has issued a fact sheet, warning investors to scrutinize in-kind charitable donations made for tax purposes through promoters. “As tax filing season approaches, you may see a growing number of advertisements for tax-shelter donation arrangements,” the release read. “While donating various items to a charity is a legitimate way […]

By Steven Lamb |November 26, 2003

2 min read

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Retail firm rebound sparks brokerage industry

(November 26, 2003) For the second straight quarter, Canada’s brokerage industry has posted healthy profits, the first time that’s happened since 2000. And there’s cautious optimism for the year ahead. Industry operating profits totalled $877 million in the July-September period, a 5% increase from the previous three months, the IDA says in its latest securities […]

By Doug Watt |November 26, 2003

3 min read

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Wise persons committee delays final report

(November 25, 2003) A federally appointed committee set up to review Canada’s securities regulation system will deliver its final report mid-December. The wise persons committee (WPC) report was originally scheduled to be released by the end of November. The WPC today released three independent research studies on securities regulation in the U.S., Europe and Australia. […]

By Doug Watt |November 25, 2003

3 min read

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Clients may forget lessons of 2000 too soon

(November 25, 2003) As the markets continue to climb and investor confidence slowly returns, financial advisors can expect to face some clients who are dismissive of the very notion of risk. Never mind that the tech-sector bubble popped just under four years ago, wiping out untold fortunes on paper. The anxiety caused by those losses […]

By Steven Lamb |November 25, 2003

4 min read

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Briefly:

(November 28, 2003) If you haven’t been to Advisor Forum 2003 yet, you’re down to your last chance. The trans-Canada conference makes its final stop in Halifax on Monday, December 1. The two day conference kicks off at the World Trade and Convention Centre, 1800 Argyle Street, with the keynote address from Bill Good, who […]

By Staff |November 24, 2003

6 min read

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Check E&O policies carefully for exclusions, expert says

(November 24, 2003) Financial advisors need to study their errors and omissions (E&O) insurance policies with a fine-tooth comb to determine exactly what is and what is not covered, says Robert Ensor of Marsh Canada. Ensor provided an update on the Canadian E&O environment at a recent Peel Institute symposium in Toronto. When choosing an […]

By Doug Watt |November 24, 2003

3 min read

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Nick Murray speech sparks debate in Talvest Town Hall

(November 21, 2003) Author and business coach Nick Murray’s contention that equities can be a suitable and safe investment, even for clients who are retired, sparked some lively debate this week in Advisor.ca’s Talvest Town Hall. In a keynote speech on Wednesday at the Toronto Advisor Forum, Murray noted that actuarial projections suggest the average […]

By Doug Watt |November 21, 2003

2 min read

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Advisor Forum update: Advisor panel offers tips to thrive on

(November 21, 2003) It’s been a difficult century so far for the financial services industry, with markets collapsing, clients panicking and then a long, slow slog of a recovery. While many advisors survived the shake up, some managed to even thrive. Three top advisors shared their strategies for making the most of a tough market […]

By Steven Lamb |November 21, 2003

5 min read

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Advisor Forum update: Paper trail, know-your-client keys to winning in court

Current: out-of-date client information clouds your understanding of their goals Current: out-of-date client information clouds your understanding of their goals Correct: even the slightest error can call your reliability into question Complete: make sure you have a full understanding Consistent: make sure there are no discrepancies between the notes for separate meetings Contemporaneous: put everything […]

By Steven Lamb |November 20, 2003

4 min read

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