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  • Post CRM: Where Do We Go From Here? (IIAC Blog) | IIAC
    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 IIAC Blog October 26 2015 Post CRM Where Do We Go From Here IIAC Blog Ian Russell The second and final phase of the Client Relationship Model CRM will take effect on July 15 2016 a scant nine months away This date marks the culmination of a four year effort to build a comprehensive regulatory framework for the client advisor relationship The IIAC has started to think about where do we go from here Some regulators believe the rule framework does not go far enough to meet the clients broad needs and that more regulation is the answer My guest column which appears in the November edition of Investment Executive sets out some preliminary thinking as to where policy should go I argue that more rules is the least productive approach after years of extensive rule making and consultation to build the CRM rule framework Rather I write the focus should be on increased regulatory oversight of non SRO registrants to ensure full compliance and a level playing field on developing industry best practices and on improving the

    Original URL path: http://iiac.ca/post-crm-where-do-we-go-from-here-iiac-blog/ (2016-02-14)
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  • CRM | IIAC
    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 Tag Archives CRM Post CRM Where Do We Go From Here IIAC Blog Post CRM Where Do We Go From Here IIAC Blog The second and final phase of the Client Relationship Model CRM will take effect on July 15 2016 a scant nine months away This date marks the culmination of a four year effort to build a comprehensive regulatory framework for the client advisor relationship The IIAC has started to think about where do we go from here Some regulators believe the rule framework does not go far enough to meet the clients broad needs and that more regulation is the answer My guest column which appears in the November edition of Investment Executive sets out some preliminary Continue reading Tagged CRM CRM2 culture Ian Russell Investment industry best practices Regulatory oversight Comments Off on Post CRM Where Do We Go From Here IIAC Blog IIAC IIROC CRM Conference Montreal IIAC IIROC CRM Conference Montreal Date April 24 2014 Breakfast and Registration 7 00 a m 7 30 a m Presentations 7 30 a m 9 00 a m Location Saint James Club

    Original URL path: http://iiac.ca/tag/crm/ (2016-02-14)
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  • Investment Industry Best Practices | IIAC
    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 Tag Archives Investment industry best practices Post CRM Where Do We Go From Here IIAC Blog Post CRM Where Do We Go From Here IIAC Blog The second and final phase of the Client Relationship Model CRM will take effect on July 15 2016 a scant nine months away This date marks the culmination of a four year effort to build a comprehensive regulatory framework for the client advisor relationship The IIAC has started to think about where do we go from here Some regulators believe the rule framework does not go far enough to meet the clients broad needs and that more regulation is the answer My guest column which appears in the November edition of Investment Executive sets out some preliminary Continue reading Tagged CRM CRM2 culture Ian Russell Investment industry best practices Regulatory oversight Comments Off on Post CRM Where Do We Go From Here IIAC Blog Canada s Investment Professionals Committed to Protecting Senior Investors Canada s Investment Professionals Committed to Protecting Senior Investors Advisors play an important role in protecting senior investors says the Investment Industry Association of Canada IIAC According to Michelle Alexander the proof is in a Guidance Report report issued today entitled Canada s Investment Industry Protecting

    Original URL path: http://iiac.ca/tag/investment-industry-best-practices/ (2016-02-14)
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  • Regulatory Oversight | IIAC
    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 Tag Archives Regulatory oversight Post CRM Where Do We Go From Here IIAC Blog Post CRM Where Do We Go From Here IIAC Blog The second and final phase of the Client Relationship Model CRM will take effect on July 15 2016 a scant nine months away This date marks the culmination of a four year effort to build a comprehensive regulatory framework for the client advisor relationship The IIAC has started to think about where do we go from here Some regulators believe the rule framework does not go far enough to meet the clients broad needs and that more regulation is the answer My guest column which appears in the November edition of Investment Executive sets out some preliminary Continue reading Tagged CRM CRM2 culture Ian Russell Investment industry best practices Regulatory oversight Comments Off on Post CRM Where Do We Go From Here IIAC Blog IIAC Member Firms and Advisors A Cut Above IIAC Member Firms and Advisors A Cut Above There is plenty of evidence that the overwhelming majority of Canadian investors have a high degree of confidence in their investment advisor Beyond helping clients identify their long term liabilities and develop an appropriate asset allocation IAs

    Original URL path: http://iiac.ca/tag/regulatory-oversight/ (2016-02-14)
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  • What are Investment Industry CEOs Predicting for 2015? | IIAC
    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 Take Our Kids to Work Day Compliance and Operations Symposium Small and Independent Dealers Symposium Cybersecurity Symposium Sponsorship Opportunities Hall of Fame Search IIAC Blog December 17 2014 What are Investment Industry CEOs Predicting for 2015 Ian Russell IIAC President and CEO will be one of three keynote speakers at The Empire Club of Canada s Outlook Luncheon on Thursday January 8 2015 in Toronto Mr Russell will be unveiling the results of the third annual IIAC Capital Markets Outlook A Survey of Canada s Investment Industry CEOs Where The Royal York Hotel Concert Hall When Thursday January 8 2015 Noon It s worth noting that the previous two survey results 2013 Outlook and 2014 Outlook have been remarkably accurate and as a result we re anticipating the same will hold true this time around Tickets are available here Tweet Tagged CEO Outlook Survey Events Ian Russell

    Original URL path: http://iiac.ca/10719/ (2016-02-14)
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  • Fiduciary Standard for Advisors Not the Answer (IIAC Blog) | IIAC
    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 IIAC Blog September 25 2015 Fiduciary Standard for Advisors Not the Answer IIAC Blog Ian Russell The Canadian Securities Administrators CSA has focused on fiduciary duty to ensure dealers and their advisors act in the best interests of their client Acting in a client s best interest means ensuring client interests are paramount conflicts of interest are avoided clients are not exploited clients are provided with full disclosure and services are performed reasonably prudently In my letter to the editor appearing in the October 2015 edition of Investment Executive I noted that Canada s investment industry fully supports a high standard of conduct for retail advisors Industry efforts over the past four years to consult closely with regulators and implement an effective Client Relationship Model CRM framework in Canada testify to this commitment However I stressed that it is important to make the distinction between a high standard of professional care and a formal fiduciary standard or a standard mistaken for a formal fiduciary standard as in a best interest standard A fiduciary like standard and what may look like a one size fits all approach may force unnecessary changes to the availability of current business models to the disadvantage of retail clients

    Original URL path: http://iiac.ca/fiduciary-standard-for-advisors-not-the-answer-iiac-blog/ (2016-02-14)
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  • Best Interest Standard | IIAC
    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 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 Best Interest Standard Fiduciary Standard for Advisors Not the Answer IIAC Blog Fiduciary Standard for Advisors Not the Answer IIAC Blog The Canadian Securities Administrators CSA has focused on fiduciary duty to ensure dealers and their advisors act in the best interests of their client Acting in a client s best interest means ensuring client interests are paramount conflicts of interest are avoided clients are not exploited clients are provided with full disclosure and services are performed reasonably prudently In my letter to the editor appearing in the October 2015 edition of Investment Executive I noted that Canada s investment industry fully supports a high standard of conduct for retail advisors Industry efforts over the past four years to Continue reading Tagged Best Interest Standard

    Original URL path: http://iiac.ca/tag/best-interest-standard/ (2016-02-14)
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  • 2015 IIAC Investment Industry Hall of Fame Inductees Announced (IIAC Blog) | IIAC
    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 IIAC Blog June 25 2015 2015 IIAC Investment Industry Hall of Fame Inductees Announced IIAC Blog Established in 2013 The IIAC Investment Industry Hall of Fame serves to honour excellence integrity and leadership in Canada s investment industry The IIAC is proud to announce the names of the 2015 inductees Peter M Brown Founder and former Chairman CEO Canaccord Financial Inc Frederick M Ketchen Former Director of Equity Trading ScotiaMcLeod Donald A Leslie Former President CEO Canadian Investor Protection Fund Charles M Winograd Former Chairman CEO RBC Capital Markets current Chairman TMX Group Posthumous Inductees Jalynn H Bennett Former Director Bank of Canada former Commissioner Ontario Securities Commission Sir Rodolphe Forget Former Chairman Montreal Stock Exchange former Partner L J Forget et Compagnie Jean Louis Lévesque Founder Lévesque Beaubien Inc Charles Edward Ted Medland Former President CEO and Chairman Wood Gundy Ltd This year s inductees have roots that span the country and have played a pivotal role in the development and growth of the investment industry and capital markets in Canada They are highly accomplished trailblazers in an industry that has evolved significantly over the years The 2015 inductees will be formally recognized and celebrated

    Original URL path: http://iiac.ca/2015-iiac-investment-industry-hall-of-fame-inductees-announced-iiac-blog/ (2016-02-14)
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