How the law treats KYC forms, email and note-taking


Nigel Campbell, a partner at the legal firm Blake Cassels & Graydon LLP in Toronto, discusses the importance of congruence between clients accounts and Know-Your-Client forms, the danger of emails, and the usefulness of note-taking. He spoke at the TMX Broadcast Centre in Toronto.


Duration: 5 min 57

October 17, 2009

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Part 11: SRI scores a big win with Say on Pay

Part 11: SRI scores a big win with Say on Pay

Duration: 6 min 13

Gary Hawton, CEO of Meritas Mutual Funds, and Stephen Griggs, executive director of the Canadian Coalition for Good Governance, discuss how some of Canada’s major public companies have agreed to shareholder advice on executive compensation, and its potential impact on pay globally. Meritas...

September 17, 2009

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Part 10: Social values victories are sometimes works in progress

Part 10: Social values victories are sometimes works in progress

Duration: 7 min 36

Advisors and industry executives describe several positive social victories for which the SRI industry takes some credit. (Part 10 of 12)

August 15, 2009

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Part 9: Four environmental victories for the SRI industry

Part 9: Four environmental victories for the SRI industry

Duration: 8 min 06

Advisors and industry executives name several positive environmental outcomes that the for which the SRI industry takes some credit. (Part 9 of 12)

July 30, 2009

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Independent model proves successful for Queensbury

Independent model proves successful for Queensbury

Duration: 4 min 38

Hugh McLelland, chairman and CEO of Queensbury Group Inc., discusses how the firm’s business model has remained successful through the economic downturn. He also describes Queensbury’s support services and the outlook for the firm. He spoke at Queensbury’s head office in Toronto. For...

July 15, 2009

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Part 8: Screening to promote shareholder activism

Part 8: Screening to promote shareholder activism

Duration: 6 min 48

Advisors, industry executives and describe positive screening and how it promotes shareholder advocacy and change in the social, environmental and governance arenas. (Part 8 of 12)

June 16, 2009

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Part 7: Clients arrive to SRI with negative screens first

Part 7: Clients arrive to SRI with negative screens first

Duration: 7 min 24

Chris Gordon, an advisor with Edward Jones in Mississauga, Ont., Gary Hawton, CEO of Meritas Mutual Funds and Keith McLean, a portfolio manager with I.G. Investment Management, Ltd., describe the changing landscape of negative screening in the SRI industry and how clients approach the industry....

May 20, 2009

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Hallett: two steps for better fund industry regulation

Hallett: two steps for better fund industry regulation

Duration: 3 min 08

Dan Hallett, a chartered financial analyst and owner of Dan Hallett & Associates Inc., describes two pieces of regulation that he would like to see for the fund industry. He spoke in Windsor, Ont. For more, see:

May 15, 2009

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Part 6: SRI underperformance myth put to rest long ago

Part 6: SRI underperformance myth put to rest long ago

Duration: 6 min 37

Advisors, industry executives and analysts discuss the performance and costs of SRI investments compared to their peers, SRI indexes, and the experience of building portfolios with the category of investments. (Part 6 of 12) For more, see:



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