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  • submission | 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/iiacs-response-to-proposed-guidance-on-marketplace-thresholds-iiac-blog/submission/ (2016-02-14)
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  • IIAC Logo | IIAC
    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 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

    Original URL path: http://iiac.ca/newsroom/logos/iiac-logo-2/ (2016-02-14)
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  • Financial Planners | IIAC
    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 Financial Planners Investment Industry Calls for Regulation of All Financial Planners IIAC blog Investment Industry Calls for Regulation of All Financial Planners IIAC blog In a joint submission the Investment Industry Association of Canada IIAC and the Investment Funds Institute of Canada IFIC have called on the Ontario government to pass legislation that would regulate all financial planners Securities and insurance advisory services and planning that are ancillary to product recommendations are already well regulated in Ontario but there are gaps in non product related financial planning that need to be addressed for the benefit of investors The IIAC IFIC have called on the Ontario government to establish common standards for those individuals providing comprehensive financial plans to clients and or using Continue reading Tagged Financial Planners

    Original URL path: http://iiac.ca/tag/financial-planners/ (2016-02-14)
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  • IIAC: Time to end CSI monopoly | IIAC
    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 November 20 2014 IIAC Time to end CSI monopoly In a response dated November 17 2014 the IIAC provided input on our member firms experiences with the current proficiency model in Canada and suggested improvements as IIROC considers the existing system and possible alternative arrangements It s the IIAC s position that competition drives innovation and efficiency and the current proficiency assurance model with its exclusive reliance on the Canadian Securities Institute is not providing value relative to its costs nor is it offering the highest quality of education As such the IIAC has recommended a model that will provide greater choice and access with respect to education and proficiency Included in the IIAC s response are the following passages Members indicated that they have at times found the CSI course materials to be incorrect Errors were noted in the Chief Compliance Officers course material in addition to issues involving the relevancy of certain content The Conduct and Practices Handbook Course also had incorrect information regarding U S registration Other members stated that the material dealing with margin accounts in the CSC is not correct A number of

    Original URL path: http://iiac.ca/iiac-time-to-end-csi-monopoly/ (2016-02-14)
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  • Proficiency Standards | IIAC
    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 Proficiency standards IIAC Time to end CSI monopoly IIAC Time to end CSI monopoly In a response dated November 17 2014 the IIAC provided input on our member firms experiences with the current proficiency model in Canada and suggested improvements as IIROC considers the existing system and possible alternative arrangements It s the IIAC s position that competition drives innovation and efficiency and the current proficiency assurance model with its exclusive reliance on the Canadian Securities Institute is not providing value relative to its costs nor is it offering the highest quality of education As such the IIAC has recommended a model that will provide greater choice and access with respect to education and Continue reading Tagged Michelle Alexander Proficiency standards Comments Off on IIAC Time to end CSI monopoly 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 manage necessary portfolio adjustments based on prevailing market

    Original URL path: http://iiac.ca/tag/proficiency-standards/ (2016-02-14)
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  • Canada’s Investment Professionals: Committed to Protecting Senior Investors | 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 IIAC Blog November 5 2014 Canada s Investment Professionals Committed to Protecting Senior Investors Earlier this year the IIAC published a Guidance Report entitled Canada s Investment Industry Protecting Senior Investors with the goal of sharing best practices investment dealer firms and advisors are using when working with senior clients To mark Financial Literacy Month we thought it would be useful to once again direct the industry and investors to this important document The report underscores how seriously the industry takes its responsibility to ensure senior investors are being served in an ethical respectful and informed manner It also calls attention to the important role firms and advisors are playing in protecting this client base We are pleased to provide a comprehensive list of not only the challenges but also a wide range of best practices currently and successfully in use Michelle Alexander IIAC Vice President said when the report was initially released During the development of this report I was repeatedly struck by the lengths advisors and their firms go to to ensure their senior clients are not being taken advantage of by family

    Original URL path: http://iiac.ca/canadas-investment-professionals-committed-to-protecting-senior-investors-2/ (2016-02-14)
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  • Financial Literacy Month | IIAC
    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 Financial Literacy Month IIAC Marks Financial Literacy Month FLM2015 IIAC Marks Financial Literacy Month FLM2015 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 Tagged FLM2015 Financial Literacy Month IIROC regulated advisors Comments Off on IIAC Marks Financial Literacy Month FLM2015 Canada s Investment Professionals Committed to Protecting Senior Investors Canada s Investment Professionals Committed to Protecting Senior Investors Earlier this year the IIAC published a Guidance Report entitled Canada s Investment Industry Protecting Senior Investors with the goal of sharing best practices investment dealer firms and advisors are using when working with senior clients To mark Financial Literacy Month we thought it would be useful to once again direct the industry and investors to this important document The

    Original URL path: http://iiac.ca/tag/financial-literacy-month/ (2016-02-14)
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  • IIAC Guidance | IIAC
    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 IIAC Guidance Canada s Investment Professionals Committed to Protecting Senior Investors Canada s Investment Professionals Committed to Protecting Senior Investors Earlier this year the IIAC published a Guidance Report entitled Canada s Investment Industry Protecting Senior Investors with the goal of sharing best practices investment dealer firms and advisors are using when working with senior clients To mark Financial Literacy Month we thought it would be useful to once again direct the industry and investors to this important document The report underscores how seriously the industry takes its responsibility to ensure senior investors are being served in an ethical respectful and informed manner It also calls attention to the important role firms and advisors are playing in protecting this Continue reading Tagged Financial Literacy Month IIAC Guidance

    Original URL path: http://iiac.ca/tag/iiac-guidance/ (2016-02-14)
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