Practice

Becoming the next superstar advisor

Anyone with kids knows pop star Justin Bieber was discovered via YouTube. Before long, his songs were getting millions of hits from a growing fan base and he was courted by Justin Timberlake and Usher at age 12. When I was 12, I wasn’t even courted by girls with pigtails.

By Keith Pangretitsch |May 25, 2011

5 min read

Planning and Advice

Three dollar raffle tickets

It seems a number of readers have recently either taken my points out of context or missed the point altogether. Lately, I’ve been writing about cost and why it is important to keep expenses down. People have written back and talked about the importance of planning, the randomness of returns for actively managed products and the overall quality of advice they give.

By John J. De Goey |May 18, 2011

3 min read

Investing

Live from Las Vegas: IMCA Annual Conference

News Editor Steven Lamb is reporting live from IMCA’s 2011 Conference in Las Vegas, Nevada, Monday, May 16 to Tuesday May 17th. IMCA’s mission is to give advanced investment and wealth management professionals the knowledge to advance their careers and practices. This year’s conference theme is “Beyond the Basics”. That’s it for my coverage of […]

By Staff |May 17, 2011

46 min read

Planning and Advice

No fiduciary standard needed in Canada

In the wake of numerous instances of financial fraud in North America, there has been increased focus on the duties and obligations owed by investment professionals to their clients. In the U.S. and elsewhere, regulators are proposing changes that would impose a fiduciary standard on those entrusted with managing investor funds.

By David Di Paolo, Kara Beitel |May 12, 2011

4 min read

Right to incorporate reaching boiling point

For over a decade, registered salespeople have sought the right to incorporate. Many other professionals most notably those selling insurance—have been able to do so for quite some time. Though not legally able to incorporate, many salespeople assign commissions earned on the sale of securities to unregistered corporations.

2 min read

Which tablet is right for you?

2011 is going to be the Year of the Tablet. What does that mean to you and me? Personally, I thought 2009 was the Year of the Tablet. It was for me personally because that was the year I bought my Fuji tablet notebook which by the way, I still love and use almost every day.

By Kevin Cork |May 9, 2011

9 min read

Dealers must find creative way to grow

New policies, capital pressures and increased regulation are the biggest challenges facing mutual fund dealerships today. Some of these changes are opportunities for growth, others just the gum on the bottom of their shoe. An expert panel at the Federation of Mutual Fund Dealers Dealer Day conference shone some light on various changes and challenges […]

3 min read

Securing clients for life:Part Two

“I think karmically,” says Michael Kay, a CFP based in Livingston, New Jersey. “I do pro bono work, referred by friends or members of the clergy, for people who need financial advice but have an inability to pay. We’re in a helping profession and if we can help someone gain stability and financial direction, we will.” Kay does just that, even though his investable asset minimum is $750,000.

7 min read

Ways for women to opt back into workforce

Women in Capital Markets (WCM) and BMO Capital Markets have created an award to help women re-establish careers in finance after an extended absence: the BMO Women in Capital Markets Return to Bay Street Award. “There are many reasons women opt out of the workforce,” says Martha Fell, CEO of WCM. But the return can […]

1 min read