Planning and Advice

Decorative pattern

Planning and Advice

Making the Switch to IIROC

When Matthew Paradis wanted to expand his business last year, there was only one option he and his partner considered – join an IIROC dealer and leave their MFDA days behind. The Orleans, Ont.-based advisor, who’s been working with mutual funds for six years, said the decision to switch self-regulatory organizations was an easy one. […]

By Bryan Borzykowski |April 1, 2010

8 min read

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Planning and Advice

Charting a course to IIROC

Reams of paper. Thousands of “sign here” stickies. A fully stocked drawer of pens. A generous supply of office supplies isn’t all you’ll need to make the switch from the Mutual Fund Dealers Association of Canada (MFDA) platform to the Investment Industry Regulatory Organization of Canada (IIROC) platform. But it is absolutely essential. Advisors who’ve […]

By Alison MacAlpine |April 1, 2010

10 min read

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Planning and Advice

FaceOff: IIROC vs. MFDA

To IIROC or not to IIROC? We put the question to three successful advisors with three very different approaches, and got some great answers. YES Bruce Vaillancourt, CFP, CSA, Senior Financial Advisor, Vaillancourt Wealth Management/Manulife Securities Inc. Bruce Vaillancourt was an MFDA advisor before he moved to IIROC. In the first year after his move, […]

By Kanupriya Vashisht |April 1, 2010

13 min read

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Planning and Advice

Character not a licence make an advisor

What does an advisor really need to do business these days? Canadian advisors have the luxury of choosing the route that places them across the table from clients. They can opt for a full securities registration through the Investments Industry Regulatory Organization of Canada, take a mutual funds licence from the Mutual Fund Dealers Association, […]

By Philip Porado |April 1, 2010

3 min read