Recent Posts

• IIAC CEO meets with Mr. Qiu Xiaohua and colleagues
  

  IIAC CEO meets with Mr. Qiu Xiaohua and colleagues

  July 25, 2019 by Ian Russell

  On Tuesday July 23, IIAC President and CEO Ian Russell met with Mr. Qiu Xiaohua, Strategy Officer of Sunshine Insurance Group and several of his colleagues, for a general discussion on the role of the IIAC and the Canadian investment industry in domestic capital markets. There was a vigorous but cordial discussion of the impact of the trade war between Beijing and Washington, and tense relationship with Canada, and the broad implications for Canadian capital markets and prospects for the Canadian economy.

• IIAC Infographic: Canada’s Investment Industry
  IIAC Infographic: Canada’s Investment Industry

  June 27, 2019 by Ian Russell

  The Investment Industry Association of Canada has developed an infographic that describes the salient features of Canada’s capital markets and securities industry. It is designed to convey the important contribution the investment industry makes to capital markets, the economy and communities across the country.

  Member firms may find the infographic useful and compelling in summarizing the characteristics of our industry to clients and others, in creating content for press releases or marketing opportunities, and in distributing visual content on social media — a picture is worth a thousand words.

  You can also access it by clicking here.

• Suggested Practices for Engaging With Older and Vulnerable Clients
  Suggested Practices for Engaging With Older and Vulnerable Clients

  June 24, 2019 by Ian Russell

  The Canadian Securities Administrators (CSA) published a Staff Notice offering suggested practices on matters that registrants may consider when working with older or vulnerable clients, including:

  -Red flags of diminished mental capacity

  -Red flags of financial exploitation

  -Know your client and suitability obligations

  -Complaint handling

  -Supervisory procedures

  -Powers of attorney and limited trading authorizations

  -Training employees on identifying potential financial exploitation and diminished mental capacity

  -Identifying trusted contact persons

  -Establishing written policies and procedures for reporting and escalating issues

  -Communicating with older or vulnerable clients

  The CSA recognizes that older clients are not a homogenous group and that not … Continue reading →