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Brokerage Report Card 2017 main chart

How advisors rated their firms

  • By: IE Staff
  • April 28, 2017 November 9, 2019
  • 00:07
Brokerage Report Card 2017 main chart

Advisors saw solid growth in AUM

Other key metrics also shifted: higher-value accounts now make up a growing proportion of the average book fee- and asset-based sources of revenue continue to…

Big shifts for three bank-owned firms

Ratings for TD Wealth Private Investment Advice, BMO Nesbitt Burns and ScotiaMcLeod swung dramatically this year for a variety of reasons. Corporate culture, strategy and…

Gulf in corporate culture widens

The difference between how advisors with bank-owned dealers and their counterparts with independent firms feel about their corporate culture is more pronounced

Advisors favour “best interest” standard

A remarkable 71% of investment advisors support the CSA's proposal to introduce a best interest standard due to the need to elevate industry standards across…

Finding another home for clients?

There is growing sentiment that financial advice is increasingly available only to high net-worth investors

Still much room for improvement

The enhanced performance and fee disclosure included in client account statements have yet to make the impact many advisors expected - although some advisors point…

Regulators’ Report Card: COs, execs share their views on key issues

Regulators’ Report Card: COs, execs share their views on key issues

Pablo Fuchs, senior editor with Investment Executive and Fiona Collie, staff writer, discuss survey participants’ thoughts about the CSA’s proposal to introduce a best interest…

Regulators’ Report Card 2017: Good news for regulators

Regulators’ Report Card 2017: Good news for regulators

Pablo Fuchs, senior editor with Investment Executive and Fiona Collie, staff writer, discuss survey participants’ favourable views of the regulators and other key findings in…

Regulators’ Report Card: A good job

Regulators' report card

Empathy for the regulators

Many of the increases in regulators' ratings suggest dealers understand the tough job the regulators have to do. (Includes chart.)

Regulators make the grade on guidance

Regulators earn kudos for creating pertinent resources and connecting company executives to knowledgeable people on the ground

Mixed views on disciplinary proceedings

Some describe the investigative process as a "witch hunt." Others believe enforcement teams consider each situation carefully

Smallest clients being left behind?

Some firms are dropping more and more of their smallest clients. Other firms adamantly oppose the practice

No great opposition to proposed standard

Many say the industry should be acting in clients' best interest - and regulators should introduce a standard that would apply to dealers and advisors

How we did it

Compliance officers (COs) and company executives in Canada's investment industry shared their views about the regulators that oversee their businesses once again

Collaboration is key in audits

Being open with auditors will help them go the extra mile and be as flexible as they can on certain mandates

How we did it

Finding the categories in which firms are succeeding and those in which firms could improve is at the heart of Investment Executive's (IE) Report Card…

Advisors’ Report Card 2016: Editors discuss the major themes of this year’s Report Card series

Advisors’ Report Card 2016: Editors discuss the major themes of this year’s Report Card series

Pablo Fuchs, senior editor with Investment Executive, and Fiona Collie, staff writer, discuss the key trends emerging from this year’s Report Card series. Most notably,…

  • By: Pablo Fuchs
  • August 26, 2016 November 9, 2019
  • 08:30

Newer technology’s increasing importance

Advisors are growing their businesses by embracing modern mobile technology and social media

Attention turns to financial planning

The percentage of advisors who create financial plans for clients and the percentage of clients with a financial plan are rising

The challenge of compliance

As the regulatory environment in the financial services sector continues to evolve, keeping up with a steadily growing list of compliance responsibilities is a major…

Facing a need for fresh blood

The average age of the financial advisors surveyed for Investment Executive's annual Report Card series has been rising over the course of this decade

Are robo-advisors a threat?

Financial advisors surveyed for Investment Executive's 2016 Report Card series don't consider the emergence of robo-advisors anything to fret about

Key traits of successful firms

How advisors feel about their firms overall is evident in the ratings for two specific categories