OUR CORPORATE PARTNERS
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Subscriber Series 2004 Speaker Profiles |
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Doug
Robbins, FCBI
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Historically, referrals have been the primary method by which successful advisors attracted quality clients. Partly (but not entirely) as a result of the market downturn which began in the spring of 2000, most advisors found that the flow of client referrals declined dramatically; even with strong market performance in 2003, many advisors report reluctance by existing clients to refer their friends and associates.
In this workshop, Dan Richards will walk advisors through some of the new approaches that will be required to maximize the volume of client referrals going forward.
Understanding the Dynamics of the Referral Event:
• What worked yesterday, what's working today
Laying the Foundation:
• The two drivers of client satisfaction
• The hidden obstacle to happy clients
Putting a Referral Process in Place:
The "Four A's" which maximize client referrals —
Putting in place strategies for
• Asking
• Accepting
• Acknowledging
• Appreciating
Establishing a Ninety Day Action Plan:
Translating intention into action
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Dan Richards is one of Canada's best-known authorities on investors and how to market to them effectively.
As President of Strategic Imperatives, a Toronto based consultancy specializing in the financial industry, Dan Richards has been a well-known name in the mutual fund industry for almost 20 years. In that time, he has become Canada's best-known authority on investor attitudes and on the things advisors need to do to succeed in today's intensely competitive world.
No one has done more than Dan to help advisors operate more effectively. One way he's achieved this is through his frequent keynote addresses at industry conferences in Canada, the United States, Europe and Australia.
Another is via his regular monthly columns in leading industry publications in Canada and the United States, which he has been writing since 1991.
And still another is through his best selling book Getting Clients Keeping Clients: The Essential Guide for Tomorrow's Financial Advisor, which has been recognized by the leading American association for financial advisors as the best resource on client communication.
Dan holds an undergraduate degree in economics from McGill and an MBA from the Harvard Business School and in addition to his work with advisors is an award winning faculty member in the MBA program of the University of Toronto.
Barry
LaValley, EPC
Founding Member CIEPS Advisory Council & Faculty Member Nanaimo, BC
Life Planning Approach
Barry LaValley is a 23-year veteran of the Canadian Financial Services Industry. In that time, he has been an advisor, speaker, writer, educator and senior mutual fund sales executive. Industry marketing expert Dan Richards called Barry "one of the best communicators in the financial services industry today".
Barry is currently President of The Retirement Lifestyle Center, a research and education company focusing on issues associated with today's 'new retirement'. He speaks to audiences across North America on retirement lifestyle planning issues, with a focus on the non-financial aspects of retirement. Barry was a member of the Financial Advisory Committee of The National Endowment for Financial Education (NEFE) in the U.S. His book, Second Life — Planning for the New Retirement was published in the fall of 2003.
Barry also works extensively with financial advisors and has been a sought after speaker at major industry conferences. In the past seven years, he has taken his message to thousands of advisors through his articles in advisor.ca and his advisor workshops on the life planning approach to retirement planning. In 2001, Barry was a contributing author to the book Your Clients For Life, published in the U.S. and considered the definitive guide to the life planning approach.
CONTACT INFORMATION FOR: FREEDOMARKETING
Freedomarketing helps financial professionals in a number of different areas including but not limited to: written marketing plans, developing branding strategies, web design and content, personal branding brochures & post cards, newsletter design and distribution, CD business cards, eCards and eBook design and writing. To learn more visit www.freedomarketing.ca.
William R. Booth
Designing
& Presenting a Powerful Brand You
(Powerpoint presentation,
presented September 23, 2004)
Bill's career in marketing and communications began in university when his professors at N.Y.U. discovered a talent for marketing and customer insight and encouraged him to major in Marketing Research.
Following graduation, he evolved and sharpened his skills in with five global advertising agencies, working in New York, Chicago and Toronto with BBDO, Grey, Saatchi & Saatchi, Ted Bates and Y&R. This period saw significant brand development work with: Apple Computer, Bell Canada, Black & Decker, Chrysler, Fairmont Hotels and Federal Express.
In 1994, Bill founded Booth Associates, a consultancy focusing on customer insight and brand development. His work over the past ten years has included major assignments in (alphabetically): agriculture, alcoholic beverages, automotive, e-commerce, education, financial services, government, high technology, home improvement, not for profit, packaged goods, pharmaceuticals, professional services, telecommunications and travel & tourism.
In addition to his consulting work, Bill has been actively involved in executive training over the past 25 years. This experience has included an on-going relationship with the Executive Development Division of York University, the Institute of Communications & Advertising and a number of Canada's leading communications firms and professional services marketing companies.
PROFESSIONAL AFFILIATIONS
- B.Sc. degree in Marketing Research from New York University
- Charter member of the U.S. Account Planning Group
- Course Director for the Institute of Canadian Advertising's Certified Campaign Planning Program
- Seminar Instructor in the York University Executive Development Program
- Graduate of Certificate Programs with the National Training Lab (Washington
D.C.) in:
- Human Interaction Workshop
- Organizational Development
- Myers-Briggs Type Indicator
Ellen
Bessner
Ellen Bessner is a partner at Gowling Lafleur Henderson where she practices Commercial Litigation with expertise in the area of advisors' professional liability. She has defended Insurance Agents and Brokers, Investment Advisors, Financial Advisors, Branch Managers, Supervisors and their firms in regulatory and legal proceedings. Ms. Bessner has been a guest speaker at numerous conferences for institutional clients, regulators and industry organizations. She has published articles in the Investment Executive Newspaper and Advisor's Edge Magazine.
As a partner with Gowlings, Ms. Bessner's litigation practice includes all aspects of commercial and securities issues, employment law, professional negligence and banking matters. She regularly represents financial institutions, brokerage firms and corporations.
Ms. Bessner regularly appears before the Superior Court of Ontario and the Ontario Court of Appeal, and various tribunals, including the Investment Dealers Association, the Ontario Securities Commission, the Ontario Human Rights Commission and the Employment Standards Act Tribunal.
Ms. Bessner is a member of the Canadian Bar Association, the Law Society of Upper Canada, the Advocates Society and Women in Capital Markets and is a regular speaker for the Canadian Securities Institute. She is also a trained mediator and negotiator and regularly represents clients at mediations.
With her partner, Julie-Martine Loranger, she offers compliance training for investment advisors and branch managers. See www.gowlings.com/courses.
Ms. Bessner was called to the Ontario Bar in 1989 after completing her LLB at Osgoode Hall Law School and her Bachelor of Commerce at McGill University.
PUBLISHED
PAPERS
- Preparing Your Defence: An Effective Paper Trail Follows the Five Cs (14/04/2004)
- A Planner's Obligation (02/02/2004)
- Reasonable Standard (11/11/2003)
- The Paper Trail (08/08/2003)
- Credibility Victory (05/05/2003)
- Red Flags (04/04/2003)
- Will you be believed by the Judge? (13/02/2003)
- Fearing the Unknown (21/11/2002)
- The Sky is the Limit (21/11/2002)
- Complaint Evasion (27/08/2002)
- Why advisors should be protected. (23/07/2002)
- The Golden Rule: Fulfilling your Know Your Client obligations, means getting beyond the KYC form (15/06/2002)
- IDA leaves brokers confused, uninformed (15/11/2001)
- Investment Advisors Liability: The Danger of an Evolving Approach (30/05/2001)
- Putting the cart before the horse (01/01/2001)
- How liable is the broker? (28/07/2000)
- Preparing for mediation: How to maximize gains and settle what you can (15/03/1998)
Garry
R. Duncan, B. Comm., F.C.A., CFP
Budget Update 2004
Garry Duncan specializes in tax and financial planning. His engagements include personal financial and tax planning, estate planning and family trust, retirement and expatriate planning. His clients range from individual taxpayers to shareholders/owners of Canadian-controlled private corporations.
Mr. Duncan has attained a broad range of professional experience. He worked as an assessor with Canada Customs and Revenue Agency for three years before joining BDO Dunwoody LLP as a Tax Specialist and Financial Planner. He is a member of the Society of Trust and Estate Practitioners, the Canadian Tax Foundation and the Estate Planning Council of Toronto. He is also a Director and Chairman of the Financial Planners Standards Council.
Mr. Duncan is a co-author of Canadians Resident Abroad, 4th edition, dealing with Canadian expatriates and Guide to the Family Business, Canadian edition 2003; both books published by Carswell. He has presented numerous seminars and speeches for the Institute of Chartered Accountants, the Canadian Association for Financial Planners, the International Association of Financial Planners, Ontario Dental Association and the Strategy Institute. In addition, he has been featured in Canadian Lawyer, Your Money, Globe and Mail, Toronto Star, Offshore Finance Canada and C.A. Magazine.
Mr. Duncan has been involved with Financial Planners Standards Council since 1996, initially as a representative of the Canadian Association of Financial Planners and more recently as the Canadian Institute of Chartered Accountants representative on the Examination Committee. Subsequently, he joined the Board as the Canadian Institute of Chartered Accountants rep and currently serves as the board chair.
Barry
Corbin
Fraser Milner Casgrain LLP
Estate
Planning with Insurance Products
(presented February 19, 2004)
Barry develops efficient and effective tax and estate planning strategies. He provides legal opinions on will and trust interpretations, facilitates resolution of problems encountered in the course of estate administration, represents trustees and/or beneficiaries in trust and estate disputes; and, acts as a mediator in a broad range of estate matters to facilitate resolution of disputes.
PREFERRED AREAS OF PRACTICE
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Tax and estate planning, estate administration and the mediation of estate disputes.
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Charities and not-for-profit matters, commercial trust law issues, estate litigation matters, and issues involving estate and trust law and substitute decision-making
Dr.
Sherry Cooper
The
Outlook . . . Global Rebound
(presented January 22, 2004)
Dr. Sherry Cooper is global economic strategist and executive
vice-president of the BMO Financial Group. Sherry is in constant demand as a speaker
and writer because of her ability to simplify and de-mystify the murky waters
of economics and finance. She leads a top-ranked economics team, has been an All-Star
analyst for the past two decades, and was ranked the 3rd most influential woman
in Canada by the National Post 2002 survey. In addition, Sherry has just
been ranked the top GDP forecaster in the United States by Bloomberg News.
Dr. Cooper has an M.A. and Ph.D. in economics from the University
of Pittsburgh. She was an economist at the Federal Reserve Board in Washington,
D.C. and served as special assistant to Chairman Paul Volcker. Following five
years at the Fed, she joined the Federal National Mortgage Association (Fannie
Mae) as director of financial economics. Since 1983, she has been chief economist
of BMO Nesbitt Burns, a leading Canadian investment dealer, and in 2000 was appointed
to her current role at the Harris Bank and BMO Financial Group.
Sherry is the most widely quoted economist in Canada and has a significant global following. She gives more than two hundred speeches each year, is a former member of the Barron's Economic Roundtable, writes a bi-weekly column for the National Post, and is often quoted in the print media including the Wall Street Journal, the New York Times, Business Week and the Globe & Mail. In addition, she makes regular appearances on CNBC, CNN, CBC, and CTV. Sherry is also the author of two best-selling books, The Cooper Files and Ride the Wave.