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How to Build a Better Mousetrap

I read a blog post recently on innovation called “Where To Look For The Next Big Thing” which was a great reminder for all of us in the technology field who specialize in any business vertical – whether it’s financial services, automotive or consumer packaged goods. All of us have an opportunity to bring new […]

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CSA Extends CRM2 July 15, 2015 Reporting Deadline by 6 months

The CSA letter published on January 28, 2015 said that CRM2 amendments scheduled to come in to force on July 15, 2015 have been extended to December 31, 2015 in response to an IIAC letter managing director Barbara Amsden sent to the CSA on December 20, 2014. This gives dealers an additional 6 months to […]

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Turning Compliance into an Opportunity

This article points out 6 regulatory opportunities – strategies that help wealth managers turn regulation into customer upside.  Our customers are implementing some of these ideas ahead of POS Stage 3 – and taking advantage of opportunities that include e-migration, improved customer experience and improved communications.  Every industry player must comply so why not turn a […]

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Making CRM2 a Positive Client Experience

This week’s IE article on CRM2 fostering stronger client relationships is a rare and welcome view on the regulation.  Now that CRM2 is a reality, why not make the fee disclosure conversation a positive one with your clients?  The article encourages the use of technology to share valuable information with your clients and we couldn’t agree […]

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POS Stage 3 Pre-trade Delivery Coming Soon….

The Canadian investment community awaits the CSA’s final Stage 3 rules for National Instrument 81-101 which are due to be published in the next 4 weeks.  This will establish the specific guidelines with respect to pre-trade delivery of the Fund Facts document and with that, the CSA has recently launched an interactive sample of a […]

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