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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 Jan 22, 2024
Monday Jan 22, 2024
Although all of us wished we lived in a world where everyone played fair, we know there’s no such place. In every industry, there are regulators to keep the consumer safe, especially in the financial industry.
I have said this before: We are in the business of trust. People trust that the advice we give them is in their best interest.
Regulators are there to make sure that we are following a consistent methodology and have the notes and paperwork to prove it. This is not an enviable role to play. Believe it or not, entrepreneurs sometimes don’t like their integrity being questioned or to show their work. This can cause undue friction because after all they are only doing their job.
At our recent National Fall Summit in Halifax for advisors, we had the pleasure of hosting a fireside chat with today’s guest. And as I sat in the audience, I realized that the regulators never really get to tell their side of the story and their perspective.
That changes now.
On this episode, I chat with Karen McGuinness who runs the new ‘Office of the Investor’ at the Canadian Investment Regulatory Organization (CIRO). She was previously president & CEO of the Mutual Fund Dealers Association (MFDA), and has held positions at the Enforcement branch at the Ontario Securities Commission (OSC). She is quite the authority on regulations, the (Self-Regulatory Organizations) SROs and what exactly regulators are looking for out there.
What do you and your team do stay compliant? How do you work to build and show trust with your clients? I’d love to hear what you do over a virtual coffee!
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 loved this episode, I’d appreciate it if you would follow Turning the Page on Apple, Spotify or whatever podcast app you use! If you found the information helpful, be sure to share it with another financial advisor who could use these words of wisdom!
Chris
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