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Back offices still are works in progress

Advisors at four firms cited recent changes that have made the experience of dealing with their back office more difficult

Advisor Quotes

Advisors toast their firms

  • By: IE Staff
  • April 27, 2018 November 9, 2019
  • 00:16

Divergent views on managers

Advisors with bank-owned brokerages were split in their opinions of the roles their branch managers fulfil. Some oppose the producing branch manager model others said…

Struggles with online access

Advisors with five of the 12 firms in the Report Card rated their brokerages lower by half a point or more in the "online account…

Research and Markets

Canadian IPO market hits pause amid first quarter volatility

New issues in the wings signal a likely increase in deal activity for the balance of the year

  • April 2, 2018 November 9, 2019
  • 12:15

Much work to be done

Survey participants raise several concerns

Regulators Report Card masthead April 2018

Dissatisfaction with regulators increases

Although the BCSC's ratings increased year-over-year, no other regulators in the survey experienced a similar fortune

Time to make a move on commissions

The investment industry wants regulators to make a decision on embedded commissions once and for all

How we did it

IE research journalist Anthony Burton spoke with 108 survey participants from across the investment industry

Debating regulators’ role in cybersecurity

While some survey participants said regulators should be doing more about cybersecurity, others said the onus is on the industry

Regulators focus on fintech

Provincial regulators were recognized for facilitating fintech, but some survey participants still had concerns

A balancing act for regulators

Regulators are doing a better job of protecting investors without restricting business, but more needs to be done

Approaches to small firms differ greatly

The OSC, BCSC and ASC were praised for making life easier for smaller dealers, but the same can't be said for the SROs and the…

  • By: Leah Golob
  • March 29, 2018 November 11, 2019
  • 00:13

The Seasons of an Advisor’s Life: Fall, a time for harvesting, productivity and shedding the old

Have You Thought About What Season Your Practice is in?

A different frame

HNW clients want guidance on the complex challenges that wealth can bring

Powering up your practice

Referrals are key to boosting your roster of HNW clients

Building Trust, the Right Way at WFG

Head of Compliance for WFGIAC April Stadnek shares her perspective on the growing need for financial protection among Canadians, and how WFG supports its advisors…

CPPIB spending $690M for minority stake in software firm Regnology

The firm makes software focused on regulatory reporting solutions for financial institutions

Reclaiming Control: How Edward Jones Rewards Me for Building My Business, My Way

Discover how Edward Jones empowers experienced financial advisors like me with autonomy, support and a compensation model that values our experience.

Why the Definition of Independence Matters in the Canadian Securities Industry

Designed Securities Ltd. co-founders Gillian Kunza, CEO and Michael Konopaski, CFO explore common language, context and consensus in the Blue Ocean of independence.

Designed Securities’ AI readiness – how progress and quick pivots are leading them forward

Designed Securities Ltd. co-founders Gillian Kunza, CEO and Michael Konopaski, CFO continue their discussion about trailblazing in an industry filled wiqth conflict, opportunity, and dinosaurs.

Brokerage Report Card 2024 main chart

How investment advisors rated their firms’ support offerings and tools

  • By: IE Staff
  • June 5, 2024 June 4, 2024
  • 09:16

Insurance advisors share industry sentiment and needs (charts)

Insurance advisors answered multiple-choice questions about their industry experience for this inaugural research

Hot housing market gives some Canadians cold comfort

Housing costs are a growing worry, BMO index finds

  • By: IE Staff
  • March 17, 2022 March 17, 2022
  • 15:02

Canadian ETFs enter the metaverse

New funds hold several big names found in broad U.S. stock indexes

  • By: Rudy Luukko
  • January 24, 2022 January 24, 2022
  • 00:15

How do responsible investment principles benefit long-term investors?

A time-tested, differentiated approach to responsible investing is an advantage in volatile times, says NEI Investments’ Vice-president and Head of Responsible Investing, Adelaide Chiu.

How can optimized diversification protect investors in 2025 and beyond?

A multilayered approach can minimize risk and uncover the unseen, says NEI Investments’ Vice-president and Head of Asset Allocation, Judith Chan.

Where might growth emerge as the Magnificent Seven’s dominance fades?

NEI Investments’ CIO, John Bai, explains why investors may benefit from broader market exposure in 2025.