Compliance officers and senior executives share their thoughts about the regulators that oversee their businesses. From the April 2015 issue of Investment Executive newspaper.
March 27, 2015
Compliance officers and senior executives share their thoughts about the regulators that oversee their businesses. From the April 2015 issue of Investment Executive newspaper.
March 27, 2015Pablo Fuchs, senior editor with Investment Executive, and Fiona Collie, staff writer, outline the key findings of the 2015 Regulators’ Report Card. Overall evaluations of Canada's main regulators has remained largely unchanged this year. The exception was the Ontario Securities Commission (OSC), whose ratings declined dramatically year-over-year.
Compliance officers (COs) and senior executives from a cross-section of firms in the investment industry shared their thoughts about the regulators that oversee their businesses with Investment Executive (IE) once again for the seventh annual Regulators’ Report Card. In particular, IE research journalist Kevin Philipupillai spoke with 69 COs and executives with firms regulated by […]
Survey participants question whether regulators should focus so much on developments outside of Canada
IIROC and the MFDA have advisory committees, regional councils and policy roundtables in place through which to receive feedback
COs and company executives already were reeling from regulatory pressures — and new rules have only added to that burden
Most survey participants would like to pay less in regulatory fees, but realize regulators need resources to operate
Almost two-thirds of survey participants are opposed to a whistleblower program that pays insiders for tips
Almost three-quarters of survey participants say the costs and effort needed to be compliant with CRM2 are significant
The Ontario Securities Commission has taken a major hit for its lack of sensitivity and responsiveness to the investment industry
This Report Card summarizes data from each of the Brokerage, Dealers' and Bank reports, looking at the trends across the financial advice industry
This year's research reveals how well the Big Six are meeting branch advisors' need for coaching, fair pay and effective tools
Advisor satisfaction across most of the 11 full-service and mutual fund dealers in the Report Card has held steady or improved compared with 2023
The Report Card, which has been published for more than 30 years, explores the concerns and needs of investment advisors in Canada as their firms…