Investment Executive Regulators’ Report Card 2019
Financial services watchdogs have improved over last year, according to compliance officers and company executives surveyed for the 2019 Investment Executive Regulators’ Report Card.
Participants were more satisfied with the industry’s two self-regulatory organizations and four of the country’s provincial regulators – despite persistent challenges. Still, the desire for one national regulator remains.
Industry and investor advocates welcome OSC and CIRO proposals
Net-zero pledges are contingent on factors banks can’t control, research found
If proposals pass, CRA can impose harsh new penalties and compel taxpayer testimony under oath
The insurer had $1.51 trillion in AUM on Sept. 30
Dramatic revenue increase needed to keep pace with systems costs: regulators
Certification body agrees not to challenge CIFP’s right to use trademarked Chartered Financial Planner designation
Departure clears the way for Republicans to name new top regulator
Concerns about conflicts, insider trading, manipulation in pre-hedging trades