The regulators that oversee the financial services sector have work to do, according to the compliance officers and company executives surveyed for Investment Executive’s 10th annual Regulators’ Report Card.

Specifically, survey participants raised several concerns about the two self-regulatory organizations and the Big Four provincial regulators in the survey this year, including ongoing concern that small dealers are being pushed aside by larger industry players.

For more on the Regulators’ Report Card, see pages 13 to 19.