Stephanie A. McManus

Avoid exempt market risks

Anyone in this space knows that as of September 28, 2010, the sale of exempt products in Canada, with a few notable exceptions, requires registration as a dealer and for individuals, as a dealing representative.

By Stephanie A. McManus |August 19, 2011

4 min read

Planning and Advice

Of horses and regulators

Isn’t it interesting how some of the best life lessons we can ever learn come from animals? Ok, I’m a bit fanatical about animals and my bond with horses in particular is one of the great sustaining truths in my life but the analogies between training a horse and dealing with a regulator are really […]

By Stephanie A. McManus |August 19, 2010

4 min read

Industry

Avoiding conflicts of interest

In today’s economy, it’s hard to imagine how a firm or registrant can be profitable without offering a more holistic model of financial service to clients. Insurance, financial planning, and tax preparation are all part of the “big picture” that advisors must offer. Clients want the convenience of one stop shopping. They also want knowledge […]

By Stephanie A. McManus |May 19, 2010

4 min read

Industry

Suitability: Time for a refresher?

While more stringent regulations likely would not have prevented Earl Jones from robbing hapless widows and trusting seniors — since he wasn’t actually registered to sell investments in the first place — this most recent financial scandal has nonetheless reignited the compliance debate. But, no matter what the source, when it comes to client complaints, […]

By Stephanie A. McManus |July 16, 2009

5 min read