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“If I have seen further, it is by standing upon the shoulders of giants” – Sir Isaac Newton When Chris Reynolds co-founded Investment Planning Counsel in 1996, he set out on a mission to help entrepreneurial financial advisors build better businesses. Since then, he’s remained steadfast in this mission. Chris believes that at the heart of any great business is remarkable client experience: how you meet the needs of your clientele, how you evolve with them as they change and, ultimately, how you leave your clients feeling about you after every single interaction they’ve had with you and your business. A life-long learner, Chris is always learning from the best of the best – from within our industry and from outside. In his podcast, Turning the Page, Chris will bring you the stories, the lessons, and the winning ideas from the people who have made it and from those who are reshaping the future of financial advice.
Episodes
Monday Mar 04, 2024
Monday Mar 04, 2024
Schedule a complimentary virtual coffee with me and let’s talk about how I can help you grow your business! https://aspect.ipcc.ca/turning-the-page-podcast#grabcoffeewithchris
As we continue our series of conversions with the regulators, today I’m talking with the new CEO of Canadian Investment Regulatory Organization (CIRO), Andrew J. Kriegler.
In this episode, we discuss…
- The purpose of an SRO and the story behind the merger of IIROC and MDFA.
- The benefits of the merger for advisors and consumers.
- The challenges Andrew and his team are facing through the merger process.
- The recent white paper that was issued regarding commission redirection
Andrew J. Kriegler is the inaugural CEO of the Canadian Investment Regulatory Organization (CIRO) formed on January 1, 2023, through the amalgamation of the Investment Industry Regulatory Organization of Canada (IIROC) and the Mutual Fund Dealers Association of Canada (MFDA).
In late 2014, Andrew was appointed President and CEO of the Investment Industry Regulatory Organization of Canada (IIROC), CIRO’s predecessor organization. Before coming to IIROC, Andrew served as Deputy Superintendent of the Office of the Superintendent of Financial Institutions (OSFI) where he was responsible for the prudential supervision of Canada's federally regulated financial institutions. He also spent 25 years in the private sector, most recently as Treasurer of CIBC from 2008 to 2012, and earlier as Senior Vice President & Chief Human Resources Officer of Moody's Corporation, parent of the credit rating agency Moody’s Investors Service, where he had been the Canadian Country Managing Director.
Andrew has also worked as a treasury executive, as a securitization and debt capital markets banker, as an analyst and then a trader on a mortgage-backed securities trading desk.
What do you do in your business to make sure you are compliant? How do you protect not only yourself but your clients? Let’s have a virtual coffee and talk about it.
Schedule a virtual coffee with me at https://aspect.ipcc.ca/turning-the-page-podcast#grabcoffeewithchris
Follow the podcast on Instagram at https://www.instagram.com/turningthepage_podcast
If you’ve found this episode useful, or know of someone who could gain from it, I’d appreciate it if you would share it with them. Or subscribe and follow Turning the Page on Apple, Spotify or whatever podcast app you use!
Cheers,
Chris
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