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Advisor Insights

Advisor Insights: Meeting the Needs of Investors with Cognitive Decline

This checklist helps advisors prepare for the challenges of working with investors who are experiencing cognitive decline. It provides information about what to watch for when advising these clients, and actions to ensure the advisor and dealer are meeting regulatory and legal obligations. A separate checklist has been developed to guide advisors in identifying and addressing situations where a client might be subjected to financial exploitation.

(June 15, 2018)

Advisor Insights: Protecting Investors from Financial Exploitation

This checklist has been developed to guide advisors in identifying and addressing situations where a client might be subjected to financial exploitation. It provides information about what to watch for when advising these clients, and actions to ensure the advisor and dealer are meeting regulatory and legal obligations.

(June 15, 2018)

Advisor Insights: Global Regulatory Developments in Investor Protection (May 2018)

This issue of Advisor Insights focuses on regulatory developments in 16 countries and is based on a research report that was updated in May 2018. It summarizes report findings in a number of areas, including expanded disclosure, targeted reforms, best interest standard and embedded commissions and includes key points for advisors to discuss with clients.

(May 31, 2018)

Advisor Insights Modest Investors – Easy Access and the Freedom to Choose are Keys to Successsful Long-term Investing (January 2018)

This issue of Advisor Insights contains data on the household assets of Canadian investors and provides insights on the difference that access to advice can make in their long-term savings.

(January 31, 2018)

Advisor Insights: Answering Your Clients’ Questions about the Performance of their Investments (November 2017)

This is part of a special three-part series of Advisor Insights. The series focuses on helping advisors have better conversations with their clients about their investments as the final stages of CRM2 are implemented. The other two bulletins in the series are: Advisor Insights: An Opportunity to Strengthen Your Relationships with Clients and Advisor Insights: Answering Your Clients’ Questions about Services and Fees.

(November 27, 2017)

Advisor Insights: Answering Your Clients’ Questions about Services and Fees (November 2017)

This is part of a special three-part series of Advisor Insights. The series focuses on helping advisors have better conversations with their clients about their investments as the final stages of CRM2 are implemented. The other two bulletins in the series are: Advisor Insights: An Opportunity to Strengthen Your Relationships with Clients and Advisor Insights: Answering Your Clients’ Questions about the Performance of their Investments.

(November 27, 2017)

Advisor Insights: An Opportunity to Strengthen Your Relationships with Clients (November 2017)

This is part of a special three-part series of Advisor Insights that focuses on helping advisors have better conversations with their clients about their investments as the final stages of CRM2 are implemented. The other two bulletins in the series are: Advisor Insights: Answering Your Clients’ Questions about the Performance of their Investments and Advisor Insights: Answering Your Clients’ Questions about Services and Fees.

(November 27, 2017)

Advisor Insights - Advice Creates Strong Value for Canadians

This document highlights findings from research studies that were completed in recent years showing that having a financial advisor offers significant benefits to Canadians and to our economy.

(May 23, 2017)

Advisor Insights: Will Rules in Other Countries Lead to New Regulations in Canada?

Securities regulators in Canada and internationally have increased their focus in recent years on regulatory reforms aimed at improving investor protection and enhancing the investor experience. This issue of Advisor Insights looks at one area under regulatory review: advisor compensation.

(March 30, 2016)

Advisor Insights: The Real Cost of Owning Mutual Funds in Canada and the U.S.
(November 16, 2015)

Advisor Insights – CRM2 Myths and Facts

This fact sheet focuses on frequent factual errors observed in media coverage about the timing and content of CRM2 reporting requirements. It has been prepared to provide advisors with accurate information about key aspects of CRM2. The same information has been provided to journalists in an effort to improve the accuracy of media coverage.

(July 22, 2015)

Advisor Insights – Pre-Trade Disclosure (IFIC) – IFIC-branded

Outline of requirement of new rule to help companies meet July 15, 2014 requirement to provide investors with pre-trade disclosure.

(July 28, 2014)

Advisor Insights – Benchmark Disclosure (IFIC) – IFIC-branded

Outline of requirement of new rule, including plain-language description of benchmarks, to help companies meet July 15, 2014 requirement to provide investors with a description of benchmarks.

(July 28, 2014)