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Two-way communication a priority

Advisors expect commitment from their firms in maintaining a level of two-way communication

Four firms take their licks

Advisors at two bank-owned investment dealers and two national independents say their firms have some work to do

A look at three types of managers

Advisors surveyed this year say branch managers can be "good," "bad" or "ugly"

Advisors focus on succession

Although many survey respondents are not ready to retire, they know it is a reality they must face

Regulators earn higher scores in 2012

Regulators earn higher scores in 2012

Pablo Fuchs, senior editor at Investment Executive, and Olivia Li, staff reporter, discuss key themes from the 2012 Regulators’ Report Card. Despite a year of…

Treatment of small dealers improving

Although much work remains to be done

Collaborative approach is needed

Regulators are doing a fairly good job of including dealers in their review processes, but more can be done, some compliance officers say

Regulators focus on transparency

Compliance officers laud all the regulatory bodies for their efforts in being transparent about their policies

Dealers want a national SRO

A merger between IIROC and the MFDA would result in less of a regulatory burden and lower compliance costs, CCOs say

Tackling the regulatory burden

Compliance officers say the regulators are becoming more aware of the regulatory burden, but are doing little to mitigate it

Regulators could be more “fair”

Dissatisfaction in the "fairness" categories centres on the perception that regulators are too rigid in their approach

  • By: Olivia Li
  • March 29, 2012 November 11, 2019
  • 23:00
2012 Regulators Chart

Regulators survive tough year

The chief compliance officers surveyed saw little change at the regulators, despite the difficult year these bodies have faced (Includes chart)

Will growth persist?

Advisors surveyed for this year’s Report Card series report growth in their books and in their pay, but reeling markets may stand in the way…

  • By: Olivia Li
  • August 26, 2011 October 31, 2019
  • 14:00

Middle managers as mentors

Mid-level managers should be very approachable and have a solid understanding of the business

  • By: Iris Leung
  • August 26, 2011 October 31, 2019
  • 09:55

Rising pay not enough for advisors

Although advisors surveyed for this year’s Report Card series say they are earning more than they did in the past few years, there’s still significant…

  • By: Sanam Islam
  • August 26, 2011 October 31, 2019
  • 09:55

Advisors transcend time of turmoil

Despite a sputtering economy and many challenges along the way, advisors in all channels are continuing to add assets under management, intensifying their focus on…

Firms step up diversity initiatives

Financial services firms are putting significant efforts into their diversity and inclusion strategies

Much work needed on tech tools

Advisors across all industry channels report that they often struggle with out-of-date hardware, software that is not user-friendly, systems that aren’t well integrated or inadequate…

The key to a solid public image

Consumer advertising and marketing support have a direct impact on a firm’s image with the public

Companies failing on financial planning

In this time of economic uncertainty, clients are increasingly turning to financial advisors for help

Firms help advisors emerge from the recession

Advisors are looking for the same marketing support, client communication material and business coaching from their mentors as they did during the height of the…

  • By: Olivia Li
  • August 26, 2011 October 31, 2019
  • 09:55
2011 Insurance Main Chart

Insurance firms continue to deliver

Advisors with dedicated sales agencies and independent sales agencies say there is much to like about their firms (includes main chart and one other)

  • By: Olivia Li
  • July 27, 2011 October 31, 2019
  • 15:23

A great divide in advisors’ pay

Independent advisors are seeing rising pay and more satisfaction, while those with dedicated agencies are seeing the opposite (includes chart)

  • By: Iris Leung
  • July 27, 2011 October 31, 2019
  • 15:13

Insurance agents focus on core business

While there are some key differences between dedicated agents and independents, all are increasing their sales of insurance products (includes chart)

Promotional initiatives gain prominence

The ratings reveal that advisors consider consumer advertising and marketing support to be more important to their businesses