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Wising up to succession planning

As advisors get older, they're paying more attention than ever to their exit strategies. And firms that received the highest performance ratings in this category…

  • By: Leah Golob
  • April 24, 2014 November 6, 2019
  • 23:00

Advisors turn focus to aging clients

As a glut of baby boomers enters retirement age, the support services advisors receive to help these clients deal with their unique issues in retirement…

Back office remains a big concern

Year after year, advisors say their firms fail to live up to expectations when it comes to their back-office departments - and this year is…

Firms, advisors readying for CRM 2

Advisors and their executives are on the same page when they say the pace of regulatory reform has been overwhelming. But only those firms that…

2014 Regulators’ Report Card: Thriving markets bolster ratings

2014 Regulators’ Report Card: Thriving markets bolster ratings

CRM 2 is expected to have a major impact

The vast majority of COs and executives surveyed for this year's Report Card say the CRM 2 reforms will change the sector

Lofty markets drive regulators’ ratings

Stronger equities markets have given those surveyed fewer reasons to gripe about the regulators that oversee their businesses. Includes main chart.

How we did it

For the sixth year in a row, Investment Executive (IE) spoke with compliance officers (COs) and executives at various financial services firms to find out…

Making progress with small dealers

Although there are still many concerns for small dealers, they laud their regulators for making a concerted effort to improve

Outperformance in communication

COs and executives laud most regulators for keeping firms updated on news and developments and for making staff accessible

Firms still feel heavy regulatory burden

The SROs are faring better than their provincial counterparts, but all regulators have work to do to improve

Audit process is now more inclusive

Some regulators are seeing improvements in their ratings, and it's evident they're making an effort to be collaborative

Stiff opposition to fiduciary duty

Almost six in 10 survey participants are opposed to the introduction of a "best interest" standard for financial advisors

Editors review 2013 Advisors’ Report Card highlights

Editors review 2013 Advisors’ Report Card highlights

Pablo Fuchs, senior editor at Investment Executive, and Clare O’Hara, staff writer, discuss key themes from the 2013 Advisors’ Report Card. Despite seeing growth in…

  • By: Pablo Fuchs
  • August 23, 2013 October 31, 2019
  • 12:00

Making inroads

Firms are performing strongly in their approaches to diversity in the workplace

  • By: Brent Jolly
  • August 22, 2013 October 31, 2019
  • 23:00

Half the financial planning battle won

Firms and their advisors have embraced financial planning, but it appears clients have not. Advisors cite the time and the complexity involved in preparing a…

Back office a sore spot for many

There's much dissatisfaction regarding firms' back-office departments advisors cite a bevy of concerns

Book growth and pay not aligned

A key theme of the Report Card series, year in and year out, is that firms could do more on pay. This year, most advisors…

Independence equals satisfaction

Advisors with the nine firms that received the highest ratings are able to build their businesses as they see fit

A year of growth for advisors

Across all channels of the financial services industry, advisors report bigger books and client rosters, on average. However, the rates of growth over the past…

Advisors face hurdles

Concerns focus on firms' back office, technology and receptiveness to advisor feedback. Nonetheless, firms are delivering in the areas in which advisors place the greatest…

Advisors thrilled with compliance

Once considered pariahs within financial services firms, compliance officers are now viewed as “partners” in doing business, who are “eager to help” and respond “immediately”

It’s time for firms to listen up

Advisors of all stripes say that even though their firms are open to receiving advisors' feedback, their suggestions are seldom put into place - nor…

Editors discuss 2013 Insurance Advisors’ Report Card

Editors discuss 2013 Insurance Advisors’ Report Card

Pablo Fuchs, senior editor at Investment Executive, and Clare O'Hara, staff writer, discuss key themes from the 2013 Insurance Advisors’ Report Card. Trends this year…

Report Card: Firms, advisors more enthusiastic about social media

There are clear signs that insurance firms and their advisors are open to the business-building potential of this emerging technology