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Finding an Investment Advisor

Before you start that process, decide what you expect from your investment advisor. Most investment advisors will offer a consultation during which they explain the services they offer. It is important to talk to them about their experience and qualifications, what products they are registered to sell, their investment philosophy, how they are compensated and what fees they charge, what designations they have, what level of involvement you will have, their availability to meet and so on. It is also a good idea to ask for references, so that you can learn more about the advisor and the type of service that you are likely to receive. The BC Securities Commission Investor Education has published a Guide to Investing: How to work with your Investment Advisor. This guide highlights the appropriate way to choose an investment advisor, discusses the working relationship with your advisor and how to make investment decisions. Finding the right advisor may take some time, but making the right choice is important in the long run.

Why an IIROC registered investment advisor?

You need to make sure that your investment advisor is registered with IIROC. There are many differences between people who call themselves investment advisors and those that are regulated as investment advisors. IIROC registered advisors are qualified, trained and meet high standards of conduct to ensure they provide investors with the best possible services to meet investor needs.

The value of dealing with an IIROC registered advisor is that they can offer you the broadest choices in investment products and are required to meet rigorous suitability and know-your-client standards prior to offering advice. IIROC registered advisors are also required to complete extensive training and must meet ongoing education requirements in addition to being held to strict compliance standards that are monitored first, by the firms they work for and, second, by the regulators. For more information on what an IIROC registered advisor has to offer, and the value of working with a regulated advisor please read the brochure, What IIROC Means to You, the Investor.

To verify that the individual you are dealing with is registered visit the Canadian Securities Administrators' (CSA) National Registration Search at www.securities-administrators.ca under the "Registration" menu or for investment advisors in Ontario visit www.osc.gov.on.ca.

To verify that the individual you are dealing with is currently registered with IIROC, you can run an IIROC AdvisorReport, which will include a list of which services the advisor has been approved to offer, at http://www.iiroc.ca/English/Investors/KnowYourAdvisor/Pages/default.aspx.


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Annual General Meeting

When:
Wednesday, June 6, 2012

Where:
National Club
303 Bay Street, Toronto, Ontario

Small Dealers Symposium

When:
Thursday, June 7, 2012
8:00am to 4:30pm with a reception to follow

Where:
St. Andrews Conference Centre
150 King Street West, 27th Floor
Toronto, Ontario



IIAC Annual Conference

When:
Thursday, September 20, 2012

Where:
MaRS Discovery District
101 College Street, Toronto, Ontario




Fall Compliance & Operations Symposium

Save the Date:
Thursday, November 8, 2012