Industry

IDA conference update: Offshore account ownership must be disclosed, IDA says

National securities regulator would save $40 million a year, study says Bases loaded for securities reform, Oliver says Painless prospecting — Marketing through “advocacy” client Berkshire exec says compliance costs will fell advisors, dealers BONUS TOOL: Asking clients for referrals (a template letter) Back to IDA coference coverage main page For non-individual accounts that are […]

By Doug Watt |June 23, 2003

2 min read

Industry

IDA wrap-up: Full coverage from 87th annual meeting and conference (with special bonus tool)

(July 2003) The IDA’s 87th annual meeting and conference was held in St. Andrew’s by-the-Sea, New Brunswick, during the last week of June. And just in case you missed it the first time around, here is our complete coverage, bundled into one handy package that includes a special template letter you can use today when […]

By Staff |June 23, 2003

2 min read

Industry

Briefly:

(June 27, 2003) The “made-in-Canada” response to Sarbanes-Oxley looks an awful lot like… well, Sarbanes-Oxley. The Alberta Securities Commission released the new corporate governance rules today for public comment. Most familiar among the new regulations is the call for CEOs and CFOs to certify their company’s annual and quarterly filings and that “reporting issuers to […]

By Staff |June 23, 2003

6 min read

Industry

Advisor warns of possible poker scam

(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

3 min read