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Latest news in Regulators’ Report Card

challenge-obstacle

What are the toughest CFR challenges for firms?

Deadlines to implement the client-focused reforms were extended, and dealers are working out how to comply with the new requirements

Regulators’ efforts to cut red tape continue

Adapting to the pandemic has revealed new efficiencies

e-signature

Regulators try to boost fintech adoption

From e-signatures to artificial intelligence, regulators are trying to get ahead

A higher opinion

Compliance professionals more satisfied with regulators this year

Reducing the burden by culling the herd

Compliance officers still hoping for national regulator, SRO merger

How we did it

Regulators’ Report Card 2019

  • By: Katie Keir
  • April 5, 2019 November 11, 2019
  • 10:16

Big concerns for small firms

Firm size affects the regulatory experience, compliance officers at small firms lament

Volatility worries compliance officers

Report Card respondents could pick from a predetermined list of threats to revenues, but a portion named "the markets" instead

  • By: Leah Golob
  • April 5, 2019 November 11, 2019
  • 10:14
Flat Illustration concept customer rating on tablets

MFDA the higher-rated SRO

Ratings up across the board for the fund dealer regulator

Upcoming hurdles for communication

Compliance executives recognize regulators' efforts, but desire more support

  • By: Katie Keir
  • April 5, 2019 November 11, 2019
  • 10:12

Watchdogs respond to rise of fintech

Ratings improved for regulators' support of innovation, but there's more work to be done

Court denies appeal of OSC panel’s decisions

The panel found that contracts that were marketed as a tax-planning vehicle amounted to securities

SEC awards almost US$4 million to overseas whistleblower

The anonymous tipster furnished extensive assistance which helped the U.S. regulator bring a successful enforcement action in the case

IOSCO board to develop ICO framework for regulators

The umbrella group of global securities regulators held its annual annual conference in Budapest

NASAA report confirms progress to comply with DOL fiduciary rule

Conduct standards in the U.S. brokerage industry remain in flux

  • April 24, 2018 November 11, 2019
  • 15:00
Regulators Report Card masthead April 2018

Dissatisfaction with regulators increases

Although the BCSC's ratings increased year-over-year, no other regulators in the survey experienced a similar fortune

Time to make a move on commissions

The investment industry wants regulators to make a decision on embedded commissions once and for all

How we did it

IE research journalist Anthony Burton spoke with 108 survey participants from across the investment industry

Debating regulators’ role in cybersecurity

While some survey participants said regulators should be doing more about cybersecurity, others said the onus is on the industry

Regulators focus on fintech

Provincial regulators were recognized for facilitating fintech, but some survey participants still had concerns

A balancing act for regulators

Regulators are doing a better job of protecting investors without restricting business, but more needs to be done

Approaches to small firms differ greatly

The OSC, BCSC and ASC were praised for making life easier for smaller dealers, but the same can't be said for the SROs and the…

  • By: Leah Golob
  • March 29, 2018 November 11, 2019
  • 00:13

Small firms call for greater representation

There are complaints that larger firms comprise an outsized proportion of the SROs' boards and these firms have a greater voice

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