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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
- September 7, 2010 7:14 PM EDT
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Part 5: SRI Industry challenges KYC rules
Duration: 7 min 24
Investment Executive - Socially Responsible Investing
Several advisors and industry participants discuss the possibility for changes to know-your-client and suitability rules to include a social values component. (Part 5 of 12)
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Bissett managers focus on low-cost producers
Duration: 5 min 31
Leslie Lundquist, lead manager for Bissett Income Fund, and Les Stelmach, the energy trust analyst for Bissett Investment Management Ltd., discuss the outlook for trusts, the oil and gas sector, and changes to their portfolio. They spoke at their offices in Calgary. Bissett is a unit of Franklin...
Advisors and Music: Trumpeting a passion for music
Duration: 5 min 25
Sam DiCesare, an advisor at TD Waterhouse Private Client Investment Advice, discusses his business, his love for music and the intersection of both. He spoke at The Royal Conservatory of Music in Toronto.
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Small-cap manager touts structural outperformance, outlook
Duration: 5 min 03
Paul Moroz, portfolio manager for the Mawer Global Small Cap Fund, describes the historical performance of small cap stocks, the outlook for fund sector and two recent stock picks. He spoke at the firm's office Calgary.
Part 4: SRI advisor puts focus on client values
Duration: 6 min 19
Sucheta Rajagopal, an advisor with Hampton Securities Ltd. who deals exclusively in SRI, describes her business, client values and the outlook for the industry. Michael Jantzi, president of Jantzi Research Inc. and Gary Hawton, CEO of Meritas Mutual Funds join the conversation in Toronto. (Part 4...
Pooled funds drive efficiency for firm and its clients
Duration: 3 min 22
Kevin Dehod, VP and an advisor at McLean & Partners Wealth Management Inc., describes how the firm developed its pooled funds, the effect on the business and how it communicated the change to clients. He spoke at the firm’s office in Calgary.
Part 3: SRI clients not only aging hippies
Duration: 8 min 02
The popular perception is that most SRI investors are environmental activists. While they are among the core clients, the investor base is broadening, say several advisors. Patti Dolan, an advisor at Research Capital Corp in Calgary; Kathleen Peace, an advisor in Toronto at IPC Investment Corp....
Part 2: Manufacturers winning distribution
Duration: 5 min 29
Keith Sjogren, director of research and advisory services at Investor Economics Inc., describes the manufacturing and distribution landscape across the country, Michael Jantzi, president of Jantzi Research Inc., makes a product announcement, while Kevin Towers, an advisor at GP Wealth Management...
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