Financial services watchdogs have improved over last year, according to compliance officers and company executives surveyed for the 2019 Investment Executive Regulators’ Report Card.
Financial services watchdogs have improved over last year, according to compliance officers and company executives surveyed for the 2019 Investment Executive Regulators’ Report Card.
Compliance professionals more satisfied with regulators this year
Compliance officers still hoping for national regulator, SRO merger
Firm size affects the regulatory experience, compliance officers at small firms lament
Report Card respondents could pick from a predetermined list of threats to revenues, but a portion named "the markets" instead
Ratings up across the board for the fund dealer regulator
Compliance executives recognize regulators' efforts, but desire more support
Ratings improved for regulators' support of innovation, but there's more work to be done
This package summarizes data from the Brokerage, Dealers' and Bank reports, looking at trends across the financial advice industry.
Most retail branch advisors and planners were optimistic in this year's report, giving consistent or improved reviews for their banks' support
This annual report explores the priorities of advisors with full-service or mutual fund-only firms across Canada, looking at 11 dealers.
The annual Report Card reveals the priorities and business needs of investment advisors across Canada, assessing 14 investment dealers. Here's a look at advisors' technology,…