Join hundreds of financial professionals across the Greater Toronto Area (GTA) LIVE at the 2023 Toronto Fall Summit. This highly-anticipated event offers an opportunity to learn from industry experts, network with like-minded professionals, earn continuing education (CE) credits towards your licenses and professional designations, and much more. Don't miss out on this valuable experience!
Earn up to 10 hours of CE for:
The total number of credits available for each licensing type may vary.
We'll be joined by 10+ knowledgeable speakers, ready to share their insights and how you can take your business to the next level. Check back soon for details!
Andrew Kriegler is the inaugural CEO of the Canadian Investment Regulatory Organization (CIRO), which was formed from an amalgamation of the MFDA and IIROC and became effective January 1, 2023. CIRO is now the single, national SRO for the investment industry. Its regulatory responsibilities include setting and enforcing market integrity rules and dealer member rules, regarding the proficiency, business and financial conduct of dealers and their registered representatives. In his presentation, Mr. Kriegler will discuss the progress being made to amalgamate the former MFDA and IIROC, including harmonizing rules and practices, as well as discussing CIRO’s priorities for 2024.
The financial advising industry has changed significantly over the last many years and the old ways of working with clients and building a practice have changed. The solopreneur way of financial advising was to build a practice than sell it to a successor. Stats have shown many advisors have not completed that, but a more effective and sustainable method of practice building is through teaming. Many financial advisors have understood the “why” of team building but not the “how”. This presentation is designed to help understand the how, better define the benefits to client, advisor, MGA and dealer to have this model implemented. As there are a few iterations of teams, the presentation will touch upon common team models, how to implement and develop the team and address some taboo’s associated with where the evolution of the independent practice is evolving.
In today's rapidly evolving digital landscape, financial professionals face mounting threats from cyber criminals leveraging cutting-edge artificial intelligence (AI) technologies. Your access to confidential financial information makes you a prime target, particularly for solo practitioners and small business owners who may lack the resources to defend against cyber attacks effectively. As AI continues to advance at an unprecedented pace, cyber criminals are harnessing its power to automate malicious processes and conduct more sophisticated research on their targets. This alarming trend results in more frequent and potent attacks, putting financial advisors' critical data at serious risk. This presentation by Larry Keating, President and CEO at NPC DataGuard, dives deep into this critical intersection, providing essential knowledge to safeguard businesses from emerging cyber threats. Through an exploration of cyber criminals’ motives and tactics, attendees will gain heightened awareness of the pressing need for robust cybersecurity measures. Financial professionals will also be equipped with strategies to protect their organizations' digital assets, maintain trust with clients and stakeholders, and navigate the dynamic cybersecurity landscape. The focus is on implementing effective measures to counteract AI-driven threats, ensuring the utmost security of sensitive financial data.
FP Canada shares research and findings on the impact that working with a financial planner has on the wellness of Canadians, how the FP Canada Institute’s approach to developing education provides financial planners the skills they need to strengthen this impact, and how FP Canada’s certifications provide planners with the skills and resources they need to stay relevant in a dynamic industry.
Setting the stage - What are the Concerns:
- Complaints and demands from clients
- Lawsuits from Clients
- Regulatory investigations
Your Duties and Common Allegations:
- Knowing and Communicating with your Client
- The Standard Established by the Courts
- Regulator Expectations, and some notes on the New CIRO
Claim Scenarios
Implementing Practices to Avoid Pitfalls:
- Notes and Documentation (from calls to meetings to text messages)
- Beware the “non-client”- Insurance Applications
- Risk Tolerance
- Managing Client Expectations
Claims Happen - Recognizing, Reporting, Reacting:
- When a claim is made
- Reporting to your E&O carrier
- Admissions and Client Communications
- Release of documents to clients
I have notified my Insurer: What next?
- Interaction with Insurer
- Defence Counsel’s involvement
Interest rates are up. Inflation continues to be above the 2% target. Pre-retirees are thinking about delaying retirement. Amidst the shifting retirement landscape, Michelle Munro, Fidelity’s Director of Tax and Retirement Research, analyzes the challenges faced by Canadians and how the value of advice and a written financial plan remain essential to meeting their retirement goals.
Peter Bowen is Vice-President, Tax and Retirement Research for Fidelity Investments Canada ULC. Peter advises on complex tax issues that affect Fidelity’s mutual funds and their investors. He also leads Fidelity’s research into issues around planning for and living in retirement. He is frequently interviewed by the media and speaks about both tax and retirement to investors and financial advisors across Canada.
Before taking this role in 2012, Peter served as Fund Treasurer for the Fidelity mutual funds for 17 years. As Fund Treasurer, he oversaw financial, regulatory and operational matters that affect the funds and their investors, including all tax issues. He is a former chair of IFIC’s Taxation Committee. In addition, he was the architect of the T-SWP® series, an award-winning innovation launched by Fidelity in 2002.
Before joining Fidelity in 1994, he was a principal in the tax department of PricewaterhouseCoopers, primarily advising the mutual fund industry. He holds the Chartered Accountant (CPA, CA) designation, and obtained a BA in Economics from the University of Waterloo.
Peter is a recipient of the Queen’s Golden Jubilee Medal for volunteer services provided to Athletics Canada, where he acted as Honorary Treasurer for several years.
Reserve your room at the Hilton Garden Inn Toronto/Brampton! Traditional room: $159/night.
Hilton Garden Inn
2648 Steeles Avenue E.
Brampton, ON L6S 6J9
(905) 595 - 5151
Prices do not include applicable taxes. Call the hotel to make reservations and quote"Independent Financial Brokers of Canada" or click here to reserve online.
Reservation Cut off date: October 23, 2023
For questions, call our office at 1-888-654-3333.
IFB is a self-accrediting provider in the provinces of Alberta, Saskatchewan and Manitoba. For accreditation for RIBO licensed brokers in Ontario, IFB submits all material to RIBO Accreditation, and does not post RIBO credit categories or hours until formal confirmation is received. For accreditation for CFP designates and MFDA registrants, IFB submits all material to FP Canada accreditation, and does not post FP Canada or MFDA credit categories or hours until formal confirmation is received.
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