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INVESTMENT EXECUTIVE NEWS
March 2020
COMPANY INDEX
This index lists the page on which there is
a significant reference to a company or organization mentioned in stories or columns.
On the web:
REPORT ON
TECHNOLOGY
Whether you’re looking for tech tools
to modernize your practice, fintech fads for your clients or investment opportunities in the tech sector, you’ll find it here. Plus, stories on compliance, health apps and must-have tech buys. investmentexecutive.com
WHAT’S INSIDE
HIGHLIGHTS OF THIS MONTH’S INVESTMENT EXECUTIVE
Aligned Capital Partners Inc. ................... 6 Assante Estates &
Insurance Services Inc. ............................ 23 Assante Financial Management Ltd. .... 23 Beutel Goodman & Co. Ltd. ...................... 10 Borden Ladner Gervais LLP ...................... 4 Canadian Foundation for
Advancement of Investor Rights ............. 6 Canadian Life and Health
Insurance Association Inc. ...................... 23 Canadian Securities Administrators ... 1, 6 Canfin Financial Group of Cos. ............... 23 Capital Markets Regulatory Authority .. 4 Children’s Education Funds Inc. ............... 6 Client Driven Practice LLC ....................... 18 Exceedia Consulting Ltd. ........................... 6 Fidelity Investments Canada ULC ........ 25 Franklin Bissett
Investment Management ......................... 25 Franklin Templeton
Investments Corp. ....................................... 10
Invesco Canada Ltd. ................................... 10 Investia Financial Services Inc. .............. 18 Investment Industry
Association of Canada ................................ 4 Investment Industry Regulatory Organization of Canada ........................ 6,20 Investors Group Inc. ................................... 10 Kenmar Associates ................................. 4, 6 L.I. Geller Insurance Agencies Ltd. ....... 23 Manulife Investment Management ........ 10 Market Logics Inc. ....................................... 18 Mawer Investment
Management Ltd. ........................................ 10 Mutual Fund Dealers
Association of Canada .................... 4, 6, 20 Ontario Securities Commission ............... 4 Raymond James Ltd. ................................ 22 RBC Global Asset Management Inc. ...... 10 RESP Dealers Association
of Canada ........................................................ 6 SEI Investments Canada Co. ..................... 9 Sun Life Global
Investments (Canada) Inc. ........................ 10
www.investmentexecutive.com
SPECIAL SECTION
BUILDING YOUR BUSINESS
WORKING WITH A NICHE 18
There’s more to specializing than identifying a target demographic or profession.
THE DOTTED LINE 20
E-signatures save time and paperwork and show your clients you’re committed to meeting their needs.
PROFILE 22
Nadine Allen helped her clients in Fort McMurray, Alta., recover from the 2016 wildfires.
WHO NEEDS IT? 23
If your young, single clients don’t need life insurance, chances are they could use a disability policy.
EXIT PLAN 24
Some older advisors still need to be convinced of the importance of succession planning.
REGULATION
SCRUTINY NEEDED
Some industry players are calling for tighter regulation of dealers who sell group scholarship plans.
1
REGULATORY REVIEW 1
The Ontario government has assembled a task force to review capital markets legislation.
SOLO PROPOSAL 6
The MFDA has proposed a regulatory overhaul without consulting other regulatory bodies.
NEWSMAKER
BEYOND THE NUMBERS 9
Kendra Kaake of SEI Investments Canada focuses on behavioural aspects of investing.
FUNDS
LOOKING UP 10
Several mutual fund families benefited in 2019 as markets recovered from the previous year’s plunge in stock prices.
SECTORS 25
Canadian dividend and income equity funds offer stability by investing in large, established companies.
FIXED-INCOME
JUNK, WITH A NEGATIVE SPIN More than one-third
of European investment- grade debt is negative-pay. Say hello to negative-yield junk bonds.
INSIGHT
EDITORIAL
The CSA — and not the
OSC — is emerging as the standard bearer for regulatory progress.
Coming in
April 2020
Building Your Business:
Your clients’ digital estates. How to manage online accounts and assets
12
26 OTTAWA
30
There’s plenty of blame to share among the premiers and the feds over the handing of the railway blockades.
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