Registry of Lobbyists
Version 4 of 6 (1999-10-15 to 2000-05-26) 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 AND LIFE INSURANCE AGENTS 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 18,000 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: | SUE ELLIS |
| Position title: | DIRECTOR, TAXATION |
| 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: | STEVEN HOWARD |
| Position title: | EXECUTIVE VICE PRESIDENT AND COO |
| 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, Justice Canada (JC), 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: | 1. REPRESENTATION AND ONGOING CONSULTATION WITH THE DEPARTMENT OF FINANCE CONCERNING THE UPDATE AND MODERNIZATION OF THE TAX-EXEMPT STATUS OF LIFE INSURANCE, PARTICULARLY AS IT CONCERNS UNIVERSAL LIFE POLICIES, CRITICAL ILLNESS INSURANCE AND DISABILITY POLICIES.2. FURTHER REPRESENTATION TO FINANCE DEPARTMENT AND MINISTER IN RESPECT OF THE 1999 BUDGET IN RESPECT TO SUCH MATTERS AS INCREASING THE RRSP LIMITS, INCREASING THE CAP IN RESPECT OF THE FOREIGN PROPERTY RULES AND TAXPAYER MIGRATION RULES. |
| Subject Matter: Prospective: | 1. TOGETHER, JOINTLY WITH CAIFA'S AFFILIATED ORGANIZATION, THE CONFERENCE FOR ADVANCED LIFE UNDERWRITING (CALU), MAKE A PRE BUDGET SUBMISSION IN RESPECT TO YEAR 2000 FEDERAL BUDGET IN RESPECT OF SUCH MATTERS AS THE FOREIGN PROPERTY RULE, INCREASING RRSP LIMITS, TAX REDUCTIONS, TAXPAYER MIGRATION RULES AND THE INTRODUCTION OF NEW INSTRUMENTS FOR CHARITABLE GIVING PRUPOSES IN THE FORM OF CHARITABLE REMAINDER TRUSTS.2. RESPOND TO PROPOSED LEGISLATION ARISING FROM THE 2000-01 BUDGET.3. POSSIBLE REPRESENTATION TO HUMAN RESOURCES DEVELOPMENT CANADA AND INDUSTRY CANADA IN CONNECTION WITH CAIFA START-UP OF QUALIFIED ADVISOR PROGRAM AS TO SUBSIDY OR GRANT ORIGINATION.4. REPRESENTATION TO INDUSTRY CANADA CONCERNING LEGAL STATUS OF CORPORATION'S NAME SELECTION AND CURRENT CHALLENGE AS TO OWNERSHIP OF NAME AND PREPARE LEGISLATION FOR INTRODUCTION OF PRIVATE BILL TO BE INTRODUCED IN THE SENATE OF CANADA.5. PARTICIPATE IN PROPOSED HEARINGS AND MAKE REPRESENTATION TO MEMBERS OF PARLIAMENT, RELEVANT MINISTERS AND DEPARTMENT OF FINANCE IN RESPECT OF ANTICIPATED LEGISLATION IN CONNECTION WITH JUNE 1999 WHITE PAPER ON NEW FINANCIAL SERVICES FRAMEWORK.6. HOLD DISCUSSIONS OR CONSULTATIONS AS REQUIRED WITH OSFI, CONSUMER OFFICE OF INDUSTRY TRADE AND COMMERCE IN CONNECTION WITH SURVEY AND POSSIBLE LEGISLATIVE CHANGES IN CONNECTION WITH VANISHING PREMIUMS AND GUARANTEED VALUES IN CERTAIN LIFE INSURANCE POLICIES |