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Audit process generates mixed views

There are conflicting opinions about regulators' auditors and the approach they take during the auditing process

Regulators’ responses getting better?

Although regulators usually provide quick responses to registrants, the replies are too cautious in the content they provide

Regulators’ approach needs improving

COs and company executives indicated that regulators could take steps to make their policies clearer and more flexible

Costs of regulatory burden take their toll

Fewer resources or smaller compliance departments are making the regulatory burden more onerous for smaller firms

Time to get rid of commissions?

A slight, but nonetheless vocal majority believe now is the time to eliminate embedded commissions

Desire for SRO merger intensifies

An IIROC/MFDA merger, which 80% of survey participants support, has been the subject of long-running debate

How we did it

For the eighth year in a row, compliance officers (COs) and company executives throughout the investment industry shared their thoughts about the regulators.

Perception of regulators is a little rosier

Despite volatile markets, an uncertain economic environment and increasing regulation, Canada's regulators are holding their own

Advisors’ Report Card 2015: Editors discuss major themes

Advisors’ Report Card 2015: Editors discuss major themes

Pablo Fuchs, senior editor with Investment Executive, and Fiona Collie, staff writer, discuss the results of the Advisors’ Report Card 2015. This year’s Report Card…

  • By: Pablo Fuchs
  • August 21, 2015 November 9, 2019
  • 08:15

Much hope for improvement

Advisors hope the new CRM2 reporting requirements will end their pervasive - and persistent - dissatisfaction with client account statements

  • By: Jade Hemeon
  • August 20, 2015 November 9, 2019
  • 23:00

Continued growth in uncertain times

Advisors are focusing on building their businesses and growing their assets under management at a time when not only has recent economic and financial performance…

Move to fees is accelerating

CRM2, with its focus on enhancing the investment costs to clients, is transforming advisors' traditional revenue model

Are advisors ready for CRM2?

Most advisors say they already have transformed their businesses in anticipation of CRM2, but others say the new regulatory regime is bound to be disruptive

A new landscape

Although advisors are continuing to see significant growth in their books of business, their practices are undergoing a seismic transformation as a result of new…

Communication is a key priority

Work remains to be done to improve firms' communication efforts with their advisors

Firms recommended, but with caveats

A significant percentage of advisors recommended their firm, but a close look reveals that this usually comes with stipulations

Getting tech tools right

Technology is often a source of dissatisfaction, but some firms have found the right formula

  • By: Joy Blenman
  • August 20, 2015 November 9, 2019
  • 23:00

How to establish a solid back office

Despite multiple complaints across the board, advisors with certain firms say that having strong relationships and competent and proactive staff are key to success with…

  • By: Leah Golob
  • August 20, 2015 November 9, 2019
  • 23:00
Insurance Advisors’ Report Card 2015: Editors discuss key trends

Insurance Advisors’ Report Card 2015: Editors discuss key trends

Report Card: Advisors’ big shift

Investments gain greater importance

A wide divide in ongoing training

As MGAs excel in providing training, dedicated agencies are falling woefully behind

  • By: Leah Golob
  • July 23, 2015 November 9, 2019
  • 23:00

Product shelf matters greatly to advisors

Firms excel at having a rich variety of products and providing advisors with freedom to choose products that suit clients best

Going the extra mile

Advisors prefer direct managers whom they consider to be partners and do what's necessary to help

Bank advisors cast a critical eye

Great assistance in high demand

The correlation between the support advisors receive from - and the ratings they gave — their firms and MGAs is no coincidence

Engagement letters gaining prominence

The percentage of advisors and clients who have signed engagement letters has risen over the past year