The perception of Canada’s self-regulatory organizations and provincial securities commissions is a little rosier among compliance officers and company executives despite despite volatile markets, an unsettled economic environment and increasing regulation.
March 29, 2016Pablo Fuchs, senior editor with Investment Executive, and Fiona Collie, staff writer, discuss whether survey participants want to see a merger of the SROs and if regulators should take measures to separate the cost of advice from the cost of investment products.
Pablo Fuchs, senior editor with Investment Executive, and Fiona Collie, staff writer, outline the key findings of the 2016 Regulators’ Report Card. Ratings are a little rosier this year despite volatile markets and relentless reform in the regulatory environment.
There are conflicting opinions about regulators' auditors and the approach they take during the auditing process
Although regulators usually provide quick responses to registrants, the replies are too cautious in the content they provide
COs and company executives indicated that regulators could take steps to make their policies clearer and more flexible
Fewer resources or smaller compliance departments are making the regulatory burden more onerous for smaller firms
A slight, but nonetheless vocal majority believe now is the time to eliminate embedded commissions
An IIROC/MFDA merger, which 80% of survey participants support, has been the subject of long-running debate
For the eighth year in a row, compliance officers (COs) and company executives throughout the investment industry shared their thoughts about the regulators.
Despite volatile markets, an uncertain economic environment and increasing regulation, Canada's regulators are holding their own
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…
Findings from the 2023 Report Card series showed advisors are entrepreneurial but still seek business guidance and support from their firms