What do the compliance officers and company executives think about the regulators that oversee them? Applying discretion and OBSI are among the hot issues. From the April 2013 issue of Investment Executive newspaper.
March 31, 2013
What do the compliance officers and company executives think about the regulators that oversee them? Applying discretion and OBSI are among the hot issues. From the April 2013 issue of Investment Executive newspaper.
March 31, 2013There has been a big change in the firms' views of the SROs, with the ratings for the MFDA now surpassing IIROC's. Includes main chart: How the dealers rank the regulators.
Those surveyed say regulators have much work to do
The financial services industry has many concerns about giving OBSI more power and its campaign to "name and shame" firms
Canada's regulators have to keep up with global regulatory developments, but in a way that is suitable for the domestic market
Three of the four regulators in the Report Card have seen their ratings drop, and those surveyed are unafraid to say why
IE expanded the list of survey respondents in order to get a more proper perspective of the provincial regulators
Compliance officers and the executives surveyed see much improvement with the MFDA and cause for concern with IIROC
Being better informed, having access to a regulator's staff and receiving prompt responses were the key reasons for success
Pablo Fuchs and Clare O’Hara discuss improved scores for the MFDA and key changes to the structure of this year’s Report Card
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…