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  • CRM Help at Your Fingertips | IIAC
    Policy Events Upcoming Events Webinars IIAC Investment Industry Hall of Fame IIAC Top Under 40 Award Take Our Kids to Work Day Compliance and Operations Symposium Small and Independent Dealers Symposium Cybersecurity Symposium Sponsorship Opportunities Hall of Fame Home Member Login Contact Us Français About the IIAC Who We Are Board of Directors President CEO Subject Matter Experts IIAC Committees Working Groups IIAC Member Firms IIAC Affiliates Industry Job Board Advocacy Submissions Letters Letter from the President Key Issues Successes Activity Updates Member Support Cybersecurity Resource Centre CRM2 Resource Centre Industry Data Publications Public Advisories Institutional Trade Matching Tools Member Benefits Member Kit Members Only Small Dealers Overview Ian Russell on SAID Advocacy SAID Successes Publications Industry Data Tools SAID Committee Meeting Minutes Centres of Higher Learning Media Coverage SAID Events Investors Newsroom Subject Matter Experts News Releases Op Eds The IIAC in the News Blog eNewsletter Speeches Upcoming Presentations Videos Canada s Investment Industry Faces Did You Know Logos Media Kit Social Media Policy Events Upcoming Events Webinars IIAC Investment Industry Hall of Fame IIAC Top Under 40 Award Take Our Kids to Work Day Compliance and Operations Symposium Small and Independent Dealers Symposium Cybersecurity Symposium Sponsorship Opportunities Hall of Fame Search CRM Help at Your Fingertips Existing Users Log In Username Password Remember Me Forgot password Click here to reset New User Click here to register Tweet Follow us IIAC Letter to Montreal Exchange Seeks Amendment to Special Terms Transaction Reporting February 12 2016 IIAC Comment Letter on Revised Capital Markets Act and Draft Regulations for CCMRS December 21 2015 IIAC Response to ASC Nunavut Start Up Prospectus Exemption December 9 2015 IIAC Letter from the President Vol 92 China thrusts into world headlines and global financial markets February 4 2016 Advisor ca Opportunities for Canada in China

    Original URL path: http://iiac.ca/crm-2/crm-help-at-your-fingertips/ (2016-02-14)
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  • Investors education | IIAC
    capital markets Here are the advantages of working with an IIROC regulated advisor IIROC regulated advisors are able to provide a wide range of products and services ranging from mutual funds guaranteed investment certificates stocks bonds and options to more complex alternatives IIROC approved advisors must pass financial professional and personal background checks before they can be registered to work at IIROC regulated firms When you choose an advisor at an IIROC regulated firm you can be sure that the IIROC has made sure he or she has the necessary training and education For service complaints IIROC rules require firms to respond in writing to all written complaints For complaints that involve possible rule infractions regarding a client s account IIROC rules require firms to acknowledge the complaint within five business days and provide their final decision within 90 calendar days There are also options available to investors for seeking compensation if they are not satisfied with a firm s response These options include mediation arbitration taking their case to the Ombudsman for Banking Service and Investments OBSI and pursuing legal action In the rare case an IIROC registered firm were to become insolvent your cash and securities are protected within defined limits by the Canadian Investor Protection Fund CIPF The CIPF is funded by IIROC regulated firms and their membership is mandatory In Summary Investors working with IIROC regulated firms i e the IIAC s Member dealer firms have the advantage of being able to access the complete background education and qualifications of advisors This service is called AdvisorReport and it s free Learn more about the Advantages of using an IIROC registered advisor For further investor education information please visit IIROC s Investors section Here you will find valuable sources of information to help ensure you are better educated and by extension protected Sources of information include Choosing an Advisor HTML Ensuring Your Investments are Right For You PDF Know Your Advisor HTML Investor Education HTML Internet Resources for Investors HTML IIROC also makes available a complete list of rule proposals and guidance notes that it anticipates implementing and or publishing for comment over the next 12 months Most recent July 10 2015 Policy Priorities Update Report From the IIAC November 16 2015 Part of financial literacy is knowing the difference between advisors and why some might suit an investor s needs better than others To mark Financial Literacy Month the IIAC has put together a flyer on the benefits of working with an IIROC regulated advisor Access a shareable version of the flyer here http iiac ca wp content uploads IIAC Choosing an Investment Advisor pdf In March 2014 the IIAC produced a guidance note entitled Canada s Investment Industry Protecting Senior Investors Compliance Supervisory and Other Practices When Serving Senior Investors This is important reading for anyone monitoring a senior s investments Also GetSmarter AboutMoney ca is a valuable resource which provides everyday Canadians with free unbiased and independent investing and personal finance tools and information

    Original URL path: http://iiac.ca/investors/investor-education/ (2016-02-14)
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  • The IIAC in the News - Archive | IIAC
    Here 29 Aug 13 BNN Ian Russell IIAC President and CEO appears on BNN s Business Day Click Here Click Here 26 Aug 13 Advisor ca 6 ways regulators can boost the financial industry IIAC Click Here 23 Aug 13 Investment Executive Ian Russell Letter to the Editor Click Here 23 Aug 13 The Globe and Mail Mining slowdown begins to hurt as Bay Street sheds jobs firms Click Here 22 Aug 13 Globeandmail com Letter from the IIAC Why it matters when small brokers fold Click Here 22 Aug 13 Bloomberg com Stifel Said to Plan Closing Canada Offices With About 70 Workers Click Here 22 Aug 13 Calgary Herald Pipeline delays costing investment banking jobs Click Here 22 Aug 13 St Louis Business Journal Stifel closing Canadian operations Click Here 14 Aug 13 BNN Ian Russell IIAC President and CEO appears on BNN s Business Day Click Here Click Here 9 Aug 13 La Presse Investir en français yes sir Click Here 7 Aug 13 investmentexecutive com Add estate planning to your business Click Here 6 Aug 13 investmentexecutive com Add LTC to grow your business Click Here 6 Aug 13 finance investissement com REER collectif l ACCVM veut éliminer les retenues à la source Click Here 6 Aug 13 investmentexecutive com IIAC calls on Ottawa to boost small business investment assist small dealers Click Here 5 Aug 13 Le Devoir Vos finances Investir en français ou à l européenne Click Here 1 Aug 13 Les Affaires Marceau maintient la traduction intégrale des prospectus en français Click Here 1 Aug 13 investmentexecutive com Build your business with living benefits Click Here 27 Jul 13 The Globe and Mail How the Big Six banks won the battle for Canadians wealth Click Here 25 Jul 13 Bloomberg com Toronto Bankers Feel Pain from Mining Slowdown Corporate Canada Click Here 15 Jul 13 Advisor ca 4 upcoming regulatory proposals Click Here 11 Jul 13 Winnipeg Free Press Manitoban one of eight inductees in Investment Industry Hall of Fame Click Here 11 Jul 13 LesAffaires com Les plus grandes réussites passent par les autres dit L Jacques Ménard de BMO Click Here 10 Jul 13 theglobeandmail com First group of investment hall of fame inductees includes Bloomberg Fell and Ménard Click Here 10 Jul 13 LeDevoir com Le nouveau Temple de la renommée des financiers intronise trois Québécois Click Here 10 Jul 13 financialpost com Eight named to inaugural investment industry Hall of Fame Click Here 10 Jul 13 Advisor ca IIAC creates Hall of Fame Click Here 10 Jul 13 finance investissement com Trois Québécois intronisés au Temple de la renommée de l ACCVM Click Here 09 Jul 13 theglobeandmail com Five reasons for optimism in the investment industry Click Here 08 Jul 13 theglobeandmail com On Bay Street fewer workers but more productivity Click Here 08 Jul 13 Advisor ca 5 more regulatory proposals to follow Click Here 05 Jul 13 The Globe and Mail Fewer deals fewer deal makers Brokerages face hard truths Click Here 05 Jul 13 Financial Post IIAC Tough first quarter for Canada s investment dealers Click Here 05 Jul 13 Investmentexecutive com Retail firms see some improvement in Q1 IIAC Click Here 05 Jul 13 Conseiller ca Recul des profits pour les valeurs mobilières au pays Click Here 04 Jul 13 Bloomberg com Number of Canadian Securities Firms Lowest in 7 Years Click Here 02 Jul 13 Advisor ca 5 regulatory changes you need to know Click Here 27 Jun 13 Investmentexecutive com Inter generational wealth transfers Retaining spouses and children Click Here 26 Jun 13 Investmentexecutive com Diving deep to understand client base Click Here 25 Jun 13 Investmentexecutive com Increased regulation having a severe impact on small dealers Click Here 25 Jun 13 Investmentexecutive com Best interest costs spark industry debate Click Here 25 Jun 13 Financial Post Streamlining securities regulation no easy feat for Canada s fractious provinces Click Here 21 Jun 13 financialpost com IIAC names new chair shakes up board Click Here 21 Jun 13 Winnipeg Free Press Spiring named chairman Click Here 21 Jun 13 The Globe and Mail Wellington West Holdings founder named IIAC chair Click Here 20 Jun 13 Benefitscanada com IIAC elects new board chair Click Here 20 Jun 13 Advisor ca IIAC elects board chair Click Here 20 Jun 13 theglobeandmail com IIAC elects new board chairman Four new board members also announced Click Here 6 Jun 13 Investmentexecutive com Regulators must adopt a more holistic approach to compliance says IIAC head Click Here 28 May 13 Reuters com Analysis Canada may settle for markets watchdog with less bite Click Here 28 May 13 Investmentexecutive com Understanding defections Click Here 27 May 13 Investmentexecutive com Four reasons why clients leave Click Here 27 May 13 thechronicleherald ca Jitters common in investment community Click Here 24 May 13 Investment Executive Client engagement Click Here 24 May 13 Investmentexecutive com The ripple effect of IIROC s data loss Click Here 24 May 13 Investment Executive Common regulator is workable Ian Russell letter to the editor Click Here 24 May 13 Investmentexecutive com Common regulator is workable Ian Russell letter to the editor Click Here 23 May 13 digitaljournal com Toronto Financial Services Alliance Welcomes Results of Ontario s Open for Business Initiative Ian Russell quoted Click Here 23 May 13 online wsj com Toronto Financial Services Alliance Welcomes Results of Ontario s Open for Business Initiative Ian Russell quoted Click Here 20 May 13 Times Colonist Bank executive appointed to Pacific District Council Click Here 17 May 13 Investmentexecutive com Consider risks when posting third party content Click Here 17 May 13 Advisor ca Letter from the President Volume 61 reprint Click Here 17 May 13 Advisor ca Broader skill set key to advisor success IIAC Click Here 17 May 13 Investmentexecutive com Social media Building equity in the influence economy Click Here 16 May 13 Investmentexecutive com Social media Building equity in the influence economy Click

    Original URL path: http://iiac.ca/newsroom/the-iiac-in-the-news/the-iiac-in-the-news-archive/ (2016-02-14)
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  • BNN | IIAC
    Matter Experts News Releases Op Eds The IIAC in the News Blog eNewsletter Speeches Upcoming Presentations Videos Canada s Investment Industry Faces Did You Know Logos Media Kit Social Media Policy Events Upcoming Events Webinars IIAC Investment Industry Hall of Fame IIAC Top Under 40 Award Take Our Kids to Work Day Compliance and Operations Symposium Small and Independent Dealers Symposium Cybersecurity Symposium Sponsorship Opportunities Hall of Fame Search Tag Archives BNN IIAC s Ian Russell Discusses State of Independent Dealers on BNN IIAC Blog IIAC s Ian Russell Discusses State of Independent Dealers on BNN IIAC Blog Ian Russell IIAC President and CEO appeared on BNN to discuss the state of independent firms He described the perfect storm of factors contributing to current conditions and outlined the inherent competitive advantages boutique firms offer before underscoring their critical contribution to Canada s capital markets Russell also noted that the regulatory burden imposed on firms has contributed to the plight of the industry and reiterated the IIAC s responsibility and commitment to pushing back and encouraging regulators to exercise caution and perform a cost benefit analysis before adding to the burden Tagged BNN Ian Russell Industry commentary Video Comments Off on IIAC s Ian Russell Discusses State of Independent Dealers on BNN IIAC Blog Ian Russell on BNN Saving the TSX Venture Exchange IIAC Blog Ian Russell on BNN Saving the TSX Venture Exchange IIAC Blog Tagged BNN Ian Russell Industry commentary TSXV Video Comments Off on Ian Russell on BNN Saving the TSX Venture Exchange IIAC Blog As seen on BNN Ian Russell As seen on BNN Ian Russell Check out Ian Russell s latest featured guest appearance on BNN During yesterday s interview Mr Russell describes recent M A activity in the mining sector the reasons for this corporate

    Original URL path: http://iiac.ca/tag/bnn/ (2016-02-14)
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  • Ian Russell | IIAC
    the President Comments Off on China s Economic Turmoil Sends Ripples to Global Markets IIAC Blog The IIAC Applauds Nomination of Maureen Jensen as Chair and Chief Executive Officer of the OSC IIAC Blog The IIAC Applauds Nomination of Maureen Jensen as Chair and Chief Executive Officer of the OSC IIAC Blog The Investment Industry Association of Canada IIAC congratulates Maureen Jensen on her nomination as Chair and Chief Executive Officer of the Ontario Securities Commission OSC Ms Jensen has a deep background in securities regulation broad business experience and tested management skills Her nomination makes eminent good sense She brings leadership to guide the OSC at a critical juncture assessing the impact of recent extensive reform and rule making working though the transition to a cooperative securities regulator and finding the right response to the tumultuous and uncertain capital markets the widespread loss of many small investment dealers and Continue reading Tagged Ian Russell Industry news OSC Comments Off on The IIAC Applauds Nomination of Maureen Jensen as Chair and Chief Executive Officer of the OSC IIAC Blog Cybersecurity in the Financial Industry Presentation IIAC Blog Cybersecurity in the Financial Industry Presentation IIAC Blog On November 9 2015 I had the pleasure of speaking at the Knowledge Bureau s Distinguished Advisor Conference The topic of my presentation was Cybersecurity in the Financial Industry I set out the six elements of an effective cybersecurity plan I described the sophistication and global dimensions of the cyber threat and the serious consequences of such an attack to firms and clients The presentation also gave me an opportunity to explain the IIAC s role in raising awareness and assisting dealer Member firms to put in place defenses to counter the cyber threat You can watch my presentation Tagged Cybersecurity Ian Russell Video Comments Off on Cybersecurity in the Financial Industry Presentation IIAC Blog Ian Russell on BNN Saving the TSX Venture Exchange IIAC Blog Ian Russell on BNN Saving the TSX Venture Exchange IIAC Blog Tagged BNN Ian Russell Industry commentary TSXV Video Comments Off on Ian Russell on BNN Saving the TSX Venture Exchange IIAC Blog Pulling Out the Stops to Rescue the TSX Venture Exchange IIAC Blog Pulling Out the Stops to Rescue the TSX Venture Exchange IIAC Blog The singular event that has drawn considerable attention to the investment industry during the past year has been the steady withdrawal of boutique dealers from IIROC registration through mergers and amalgamations the shuttering of operations or a shift to lighter registration notably Exempt Dealer status The plight of the small dealer boutique firm has coincided with the collapse of the public venture market the TSX Venture Exchange TSXV In my latest Letter from the President I discuss the issues facing small dealer boutique firms the factors contributing to the decline in the TSXV and the steps Continue reading Tagged Ian Russell Industry commentary Letter from the President TSXV Comments Off on Pulling Out the Stops to Rescue the TSX Venture Exchange IIAC

    Original URL path: http://iiac.ca/tag/ian-russell/ (2016-02-14)
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  • Industry Commentary | IIAC
    of Independent Dealers on BNN IIAC Blog Ian Russell IIAC President and CEO appeared on BNN to discuss the state of independent firms He described the perfect storm of factors contributing to current conditions and outlined the inherent competitive advantages boutique firms offer before underscoring their critical contribution to Canada s capital markets Russell also noted that the regulatory burden imposed on firms has contributed to the plight of the industry and reiterated the IIAC s responsibility and commitment to pushing back and encouraging regulators to exercise caution and perform a cost benefit analysis before adding to the burden Tagged BNN Ian Russell Industry commentary Video Comments Off on IIAC s Ian Russell Discusses State of Independent Dealers on BNN IIAC Blog Ian Russell on BNN Saving the TSX Venture Exchange IIAC Blog Ian Russell on BNN Saving the TSX Venture Exchange IIAC Blog Tagged BNN Ian Russell Industry commentary TSXV Video Comments Off on Ian Russell on BNN Saving the TSX Venture Exchange IIAC Blog Pulling Out the Stops to Rescue the TSX Venture Exchange IIAC Blog Pulling Out the Stops to Rescue the TSX Venture Exchange IIAC Blog The singular event that has drawn considerable attention to the investment industry during the past year has been the steady withdrawal of boutique dealers from IIROC registration through mergers and amalgamations the shuttering of operations or a shift to lighter registration notably Exempt Dealer status The plight of the small dealer boutique firm has coincided with the collapse of the public venture market the TSX Venture Exchange TSXV In my latest Letter from the President I discuss the issues facing small dealer boutique firms the factors contributing to the decline in the TSXV and the steps Continue reading Tagged Ian Russell Industry commentary Letter from the President TSXV Comments Off on Pulling Out the Stops to Rescue the TSX Venture Exchange IIAC Blog The U S Financial Industry Regulatory Authority FINRA Focuses on Culture IIAC Blog The U S Financial Industry Regulatory Authority FINRA Focuses on Culture IIAC Blog On January 5 2016 FINRA released its 2016 Regulatory and Examination Priorities Letter It is instructive to learn that firm culture ethics and conflicts of interest and the significant role that all three play in the conduct of firm business are top priorities for FINRA this year CEO Richard Ketchum stated In 2016 FINRA will be looking for firms to focus on their culture and whether it is putting clients first Our goal is not to dictate specific culture but rather to understand how each firm s culture affects compliance and risk management practices Canadian regulators should take Continue reading Tagged culture FINRA Ian Russell Industry commentary Comments Off on The U S Financial Industry Regulatory Authority FINRA Focuses on Culture IIAC Blog What s in Store for Canada s Investment Industry IIAC Blog What s in Store for Canada s Investment Industry IIAC Blog Since early 2013 Canada s investment industry has shown a promising turnaround in fortunes Revenue and

    Original URL path: http://iiac.ca/tag/industry-commentary/ (2016-02-14)
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  • Video | IIAC
    Operations Symposium Small and Independent Dealers Symposium Cybersecurity Symposium Sponsorship Opportunities Hall of Fame Search Tag Archives Video IIAC s Ian Russell Discusses State of Independent Dealers on BNN IIAC Blog IIAC s Ian Russell Discusses State of Independent Dealers on BNN IIAC Blog Ian Russell IIAC President and CEO appeared on BNN to discuss the state of independent firms He described the perfect storm of factors contributing to current conditions and outlined the inherent competitive advantages boutique firms offer before underscoring their critical contribution to Canada s capital markets Russell also noted that the regulatory burden imposed on firms has contributed to the plight of the industry and reiterated the IIAC s responsibility and commitment to pushing back and encouraging regulators to exercise caution and perform a cost benefit analysis before adding to the burden Tagged BNN Ian Russell Industry commentary Video Comments Off on IIAC s Ian Russell Discusses State of Independent Dealers on BNN IIAC Blog Cybersecurity in the Financial Industry Presentation IIAC Blog Cybersecurity in the Financial Industry Presentation IIAC Blog On November 9 2015 I had the pleasure of speaking at the Knowledge Bureau s Distinguished Advisor Conference The topic of my presentation was Cybersecurity in the Financial Industry I set out the six elements of an effective cybersecurity plan I described the sophistication and global dimensions of the cyber threat and the serious consequences of such an attack to firms and clients The presentation also gave me an opportunity to explain the IIAC s role in raising awareness and assisting dealer Member firms to put in place defenses to counter the cyber threat You can watch my presentation Tagged Cybersecurity Ian Russell Video Comments Off on Cybersecurity in the Financial Industry Presentation IIAC Blog Ian Russell on BNN Saving the TSX Venture Exchange IIAC Blog Ian Russell on BNN Saving the TSX Venture Exchange IIAC Blog Tagged BNN Ian Russell Industry commentary TSXV Video Comments Off on Ian Russell on BNN Saving the TSX Venture Exchange IIAC Blog IIAC 2015 Survey of Canada s Investment Dealer CEOs IIAC Blog IIAC 2015 Survey of Canada s Investment Dealer CEOs IIAC Blog Tagged CEO Outlook Survey Fiduciary Duty Ian Russell Industry info Video Comments Off on IIAC 2015 Survey of Canada s Investment Dealer CEOs IIAC Blog Ian Russell On BNN The Six Elements of an Effective Cybersecurity Plan IIAC Blog Ian Russell On BNN The Six Elements of an Effective Cybersecurity Plan IIAC Blog Tagged Cybersecurity Ian Russell Video Comments Off on Ian Russell On BNN The Six Elements of an Effective Cybersecurity Plan IIAC Blog Ian Russell On BNN The Election and Canada s Economy IIAC Blog Ian Russell On BNN The Election and Canada s Economy IIAC Blog Tagged Ian Russell public policy the economy Video Comments Off on Ian Russell On BNN The Election and Canada s Economy IIAC Blog Federal Government Consulting on a Voluntary Supplement to the CPP IIAC Blog Federal Government Consulting on a Voluntary Supplement to the CPP

    Original URL path: http://iiac.ca/tag/video/ (2016-02-14)
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  • Ian Russell photo – February 2014 | IIAC
    the News Blog eNewsletter Speeches Upcoming Presentations Videos Canada s Investment Industry Faces Did You Know Logos Media Kit Social Media Policy Events Upcoming Events Webinars IIAC Investment Industry Hall of Fame IIAC Top Under 40 Award Take Our Kids to Work Day Compliance and Operations Symposium Small and Independent Dealers Symposium Cybersecurity Symposium Sponsorship Opportunities Hall of Fame Home Member Login Contact Us About the IIAC Who We Are Board of Directors President CEO Subject Matter Experts IIAC Committees Working Groups IIAC Member Firms IIAC Affiliates Industry Job Board Advocacy Submissions Letters Letter from the President Key Issues Successes Activity Updates Member Support Cybersecurity Resource Centre CRM2 Resource Centre Industry Data Publications Public Advisories Institutional Trade Matching Tools Member Benefits Member Kit Members Only Small Dealers Overview Ian Russell on SAID Advocacy SAID Successes Publications Industry Data Tools SAID Committee Meeting Minutes Centres of Higher Learning Media Coverage SAID Events Investors Newsroom Subject Matter Experts News Releases Op Eds The IIAC in the News Blog eNewsletter Speeches Upcoming Presentations Videos Canada s Investment Industry Faces Did You Know Logos Media Kit Social Media Policy Events Upcoming Events Webinars IIAC Investment Industry Hall of Fame IIAC Top Under 40 Award

    Original URL path: http://iiac.ca/ian-russells-letter-from-the-president-2/ian-russell-photo-february-2014/ (2016-02-14)
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