Registry of Lobbyists
Version 3 of 4 (2005-09-20 to 2006-03-09) 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
350 BLOOR ST E., 2ND FLOOR TORONTO, ON M4W 3W8 Canada |
| Telephone number: | 416-444-5251 |
| Fax number: | 416-444-8031 |
| Responsible officer name and position during the period of this registration: | SARA GELGOR, VICE PRESIDENT, REGULATORY AFFAIRS |
| Description of the organization's activities: | THE FINANCIAL ADVISORS ASSOCIATION OF CANADA CURRENTLY CARRYING ON BUSINESS AS ADVOCIS IS A NATIONAL VOLUNTARY SELF-GOVERNING ASSOCIATION OF PROFESSIONAL FINANCIAL ADVISORS AND PLANNERS WHOSE MEMBERS MAY BE LICENSED BY PROVINCIAL REGULATORS TO SELL LIFE AND HEALTH INSURANCE, MUTUAL FUNDS OR SECURITIES.BY "AN ACT TO AMALGAMATE THE CANADIAN ASSOCIATION OF INSURANCE AND FINANCIAL ADVISORS AND THE CANADIAN ASSOCIATION OF FINANCIAL PLANNER UNDER THE NAME THE FINANCIAL ADVISORS ASSOCIATION OF CANADA" THE NEW LEGAL NAME OF THE COMBINED ENTITIIES IS THE FINANCIAL ADVISORS ASSOCIATION OF CANADA. THE AFOREMENTIONED ACT RECEIVED ROYAL ASSENT ON NOVEMBER 7, 2003.THE COMBINED ENTITITIES WILL CONTINUE TO CARRY ON BUSINESS AS "ADVOCIS".THE CORE ACTIVITIES OF THE ASSOCIATION ARE CONCERNED WITH THE EDUCATION AND PROFESSIONAL DEVELOPMENT OF ITS MEMBERS TO ENSURE THAT ALL MEMBERS QUALIFY AND OBTAIN THE CHARTERED LIFE UNDERWRITER (CLU) OR CERTIFIED FINANCIAL PLANNER (CFP) DESIGNATION WHICH THE ASSOCIATION IS EMPOWERED TO CONFER. THE ASSOCIATION IS A MARKET CONDUCT STANDARD-SETTING BODY AND ENFORCES A CODE OF PROFESSIONAL CONDUCT AND IS ENGAGED IN THE DEVELOPMENT OF PRACTICE STANDARDS FOR PERSONAL FINANCIAL ADVISORS AND PLANNERS. THE FINANCIAL ADVISORS ASSOCIATION OF CANADA(FAAC) IS THE PARENT BODY OF THE CONFERENCE OF ADVANCED LIFE UNDERWRITING (CALU) WHOSE MEMBERS ARE REQUIRED TO BE MEMBERS IN GOOD STANDING OF FAAC. THE ASSOCIATION MAINTAINS AND OPERATES AN ADVOCACY PROGRAM WITH GOVERNMENT REGULATORS AND POLICYMAKERS AIMED AT ENSURING A POSITIVE LEGISLATIVE ENVIRONMENT AND CLIMATE TO PROTECT THE INTERESTS OF CONSUMERS OF FINANCIAL PRODUCTS AND SERVICES. |
| Organization's membership or classes of membership: | THE ASSOCIATION MAINTAINS A NUMBER OF CLASSES OF MEMBERS INCLUDING FULL, ASSOCIATE AND HONOURARY MEMBERS THE DETAILS OF WHICH ARE SET OUT IN THE ASSOCIATION'S CONSTITUTION AND BY-LAWS. |
| Was the organization funded in whole or in part by any domestic or foreign government institution in the last completed financial year? | No |
| Name: | TED BALLANTYNE |
| Position title: | DIRECTOR, TAXATION (CALU) |
| Public offices held: | No |
| Name: | SARA GELGOR |
| Position title: | VICE PRESIDENT, REGULATORY AFFAIRS |
| Public offices held: | No |
| Name: | STEVE HOWARD |
| Position title: | PRESIDENT AND CEO |
| Public offices held: | No |
| Name: | PETER TZANETAKIS |
| Position title: | ASSOCIATE DIRECTOR, REGULATORY AFFAIRS |
| Public offices held: | No |
| 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 AND FINANCIAL ANALYSIS AND REPORTS ANANLYSIS , 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: COALITIONS/ALLIANCES, Presentations, Telephone calls, Written communications, whether in hard copy or electronic format |
| Subject Matter: Areas of Concern: | Consumer Issues, Financial Institutions, Health, REGULATION, Small Business, Taxation and Finance |
| Subject Matter: Retrospective: | CONTINUED REPRESENTATION AND BRIEFING MEMORANDA TO THE HOUSE OF COMMONS FINANCE COMMITTEE AND DEPARTMENT OF FINANCE CONCERNING PRIVACY, MONEY LAUNDERING BANKRUPTCY, AND RETAILING OF INSURANCE BY DEPOSIT-TAKING INSTITUTIONS.SECURITIES FINANCIAL AND BUSINESS ENVIRONMENT ISSUES IN THE FORM OF A WHITE PAPER AS THE GOVERNMENT RESPONDS TO THE "WISE PERSONS" COMMITTEE'S RECOMMENDATIONS ON SECURITIES REGULATION.FURTHER REPRESENTATION TO THE FINANCE DEPARTMENT AND MINISTER IN RESPECT OF THE 2004 BUDGET AS REGARDS TO SUCH MATTERS AS THE INCREASE IN THE RRSP LIMITS, DEFICIT REDUCTION AND CAPITAL TAXES AS WELL AS ON-GOING TAXATION MATTERS SUCH AS CRITICAL AND LONG TERM ILLNESS, THE TAX TREATMENT OF CAPITAL ACCUMULATION FUNDS, RETIREMENT COMPENSATION ARRANGEMENTS, THE EXEMPT TEST, INTEREST EXPENSE DEDUCTIBILITY AND TAX PRE-PAID SAVINGS PLANS. |
| Subject Matter: Prospective: | REPRESENTATION AND ON-GOING DISCUSSION WITH THE DEPARTMENT OF FINANCE TAXATION BRANCH IN CONNECTION WITH THE TAX TREATMENT OF PERMANENT LIFE INSURANCE AND POSSIBLE MODIFICATION OF THE EXEMPTION TEST. DISCUSS WITH THE DEPARTMENT OF FINANCE THE IMPLEMENTATION OF A NATIONAL REGULATORY STRATEGY REGARDING THE REGULATION OF FINANCIAL PRODUCTS AND ADVICE WITH EMPHASIS ON CONSUMER PROTECTION AND THE CREATION OF A NATIONAL SECURITIES REGULATOR. |