Registry of Lobbyists
Version 2 of 6 (1998-07-07 to 1999-02-19) was submitted prior to the Lobbying Act coming into force on July 2, 2008. Due to different information requirements at that time, the registration is presented in the following format.
| Organization: |
THE FINANCIAL ADVISORS ASSOCIATION OF CANADA/L'ASSOCIATION DES CONSEILLERS EN FINANCE DU CANADA
41 LESMILL ROAD DON MILLS, ON M3B 2T3 Canada |
| Telephone number: | 416-444-5251 |
| Fax number: | 416-444-8031 |
| Responsible officer name and position during the period of this registration: | WILLIAM T BABCOCK, VICE PRESIDENT, GOVERNMENT & INDUSTRY RELATIONS |
| Description of the organization's activities: | CAIFA IS A VOLUNTARY NATIONAL PROFESSIONAL ASSOCIATION OF FINANCIAL ADVISORS COMMITTED TO REPRESENTING THE INTERESTS OF ITS MEMBERS AND THEIR CLIENTS. THE ASSOCIATION IS THE PREMIER PROVIDER OF PROFESSIONAL DEVELOPMENT PROGRAMS, SETS ETHICAL AND MARKET CONDUCT STANDARDS, AND IS A STRONG ADVOCATE FOR THE FINANCIAL SERVICES SECTOR. |
| Organization's membership or classes of membership: | CAIFA HAS APPROXIMATELY 19,000 VOLUNTARY MEMBERS. SECTION 4 OF THE OCTOBER 1997 CONSTITUTION DESCRIBES THE QUALIFICATIONS FOR MEMBERSHIP WHICH IS GENERALLY OPEN TO ANY INDIVIDUAL WHO IS RESIDENT IN CANADA AND WHO HOLDS A GOVERNMENT ISSUED LICENCE RELATED TO THE SALES AND SERVICE OF FINANCIAL PRODUCTS OR SERVICES.CURRENT MEMBERSHIP CLASSES INCLUDE MEMBER, ASSOCIATE MEMBER, LIFE MEMBER, HONORARY DIRECTOR, HONORARY MEMBER.ALL MEMBERS MUST AGREE TO BE BOUND BY THE CONSTITUTION AND BY-LAWS AND THE CODE OF ETHICS OF THE ASSOCIATION. |
| Was the organization funded in whole or in part by any domestic or foreign government institution in the last completed financial year? | No |
| Name: | WILLIAM BABCOCK |
| Position title: | VICE PRESIDENT, GOVERNMENT & INDUSTRY RELATIONS |
| Public offices held: | N/A. Disclosure of this information was not a requirement prior to June 20, 2005. |
| Name: | EDWARD BALLANTYNE |
| Position title: | DIRECTOR, TAXATION (CALU) |
| Public offices held: | N/A. Disclosure of this information was not a requirement prior to June 20, 2005. |
| Name: | IVAN FRASER |
| Position title: | EXECUTIVE VICE PRESIDENT |
| Public offices held: | N/A. Disclosure of this information was not a requirement prior to June 20, 2005. |
| Name: | RUDY HALMO |
| Position title: | VICE PRESIDENT & GENERAL COUNSEL |
| Public offices held: | N/A. Disclosure of this information was not a requirement prior to June 20, 2005. |
| Name: | KARL KEILHACK |
| Position title: | VICE PRESIDENT, TAXATION |
| Public offices held: | N/A. Disclosure of this information was not a requirement prior to June 20, 2005. |
| Name: | MARK MCCARVILL |
| Position title: | DIRECTOR GOVERNMENT RELATIONS |
| Public offices held: | N/A. Disclosure of this information was not a requirement prior to June 20, 2005. |
| Name: | EDWARD ROTHBERG |
| Position title: | ASSISTANT GENERAL COUNSEL |
| Public offices held: | N/A. Disclosure of this information was not a requirement prior to June 20, 2005. |
| Name: | DAVID THIBAUDEAU |
| Position title: | PRESIDENT & CEO |
| Public offices held: | N/A. Disclosure of this information was not a requirement prior to June 20, 2005. |
| Federal departments or organizations which have been or will be communicated with during the course of the undertaking: | Canadian Pension Commission (CPC), Competition Tribunal (CT), Finance Canada (FIN), Health Canada (HC), Human Resources Development Canada (HRDC), Industry Canada, Office of the Information and Privacy Commissioner (OIPC), OFFICE OF THE SUPERINTENDENT OF FINANCIAL INSTITUTIONS (OSFI), Revenue Canada (RC) |
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Communication techniques that have been used or are expected to be used in the course of the undertaking:
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Grass-roots communication, Informal communications, Meetings, Other types: COALITION / ALLIANCES, Presentations, Telephone calls, Written communications, whether in hard copy or electronic format |
| Subject Matter: Areas of Concern: | Consumer Issues, Financial Institutions, Health, Small Business, Taxation and Finance |
| Subject Matter: Retrospective: | . REPRESENTATION ON PROPOSED TIED SELLING PROVISIONS UNDER THE 1997 BANK ACT IN RESPECT OF UNPROCLAIMED S. 459.1.. PRE-1998 BUDGET SUBMISSION.. REPRESENTATION ON GST AND POSSIBLE LIABILITY IN RESPECT OF EDUCATIONAL COURSES. |
| Subject Matter: Prospective: | . PRE-BUDGET SUBMISSIONS ON FULL RE-INDEXATION OF PERSONAL INCOME TAX BRACKETS, INCREASES TO THE ANNUAL CONTRIBUTION LIMITS FOR THE 1999 & 2000 TAXATION YEAR & THEREAFTER, AND INCREASES IN THE FOREIGN PROPERTY RULE.. REPRESENTATION ON TAX DEDUCTABILITY OF PRIVATE HEALTH INSURANCE PREMIUMS FOR SUPPLEMENTARY HEALTH AND DENTAL CARE BY EMPLOYEES WHOSE EMPLOYER PROVIDES NO SUCH BENEFITS.. REPRESENTATION TO FURTHER REFINE BILL C-28 (ANTI-AVOIDANCE MEASURES IN RESPECT OF CHARITABLE GIVING). THROUGH CAIFA / CALU LED RETIREMENT INCOME COALITION - REPRESENTATION ON PROPOSED SENIORS BENEFIT AND TAX FAIRNESS BETWEEN ONE-EARNER AND TWO-EARNER COUPLES ON THE IDENTICAL AMOUNT OF FAMILY INCOME.. FINAL REPORT OF THE TASK FORCE ON THE FUTURE OF THE FINANCIAL SERVICES SECTOR (MCKAY REPORT). POSSIBLE REPRESENTATION TO OSFI ON ANTICIPATED NEW REGULATIONS RELATED TO DEMUTUALIZATION OF LARGE INSURANCE COMPANIES.FOREIGN PROPERTY RESTRICTIONS (20% RULE) RELATED TO LIFE INSURANCE SEGREGATED FUNDS AND RRSP'S GENERALLY. |