compliance-paper-people

Since it’s Fraud Prevention Month, the Canadian Securities Administrators is encouraging investors to do research before making portfolio decisions.

As well, the organization is helping people check the registrations of both companies and advisors before deciding to work with them. This can easily be done, says CSA, by using its National Registration Search tool.

Read: 3 compliance commandments

To delve further into advisors’ backgrounds, investors can also search CSA’s cease trade orders database and disciplined persons list. Finally, says CSA, people can look for news about you and your firm online.

To get ahead of prospects’ and clients’ questions, try doing these searches yourself. Even better, you can tell investors about CSA’s resources to show you want to help them make the best decisions.

The benefit of doing so, says CSA chair Bill Rice, is “CSA’s investor education tools help Canadians become informed investors.”

For more on client commnication, read:

Learn how to educate clients from a math teacher

So you’re fee-based. Now what?

8 myths about financial planning

Get personal to win clients

Polishing your practice in 2015

Deciding on client gifts? Follow these tips

Originally published on Advisor.ca

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