Regulators’ Report Card – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Mon, 22 Aug 2022 13:42:54 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Regulators’ Report Card – Investment Executive https://www.investmentexecutive.com 32 32 What are the toughest CFR challenges for firms? https://www.investmentexecutive.com/newspaper_/regulators-report-card/what-are-the-toughest-cfr-challenges-for-firms/ Mon, 23 Nov 2020 05:10:00 +0000 https://www.investmentexecutive.com/?p=410922 Deadlines to implement the client-focused reforms were extended, and dealers are working out how to comply with the new requirements

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]]> Regulators’ efforts to cut red tape continue https://www.investmentexecutive.com/newspaper_/regulators-report-card/regulators-efforts-to-cut-red-tape-continue/ Mon, 23 Nov 2020 05:09:00 +0000 https://www.investmentexecutive.com/?p=410915 Adapting to the pandemic has revealed new efficiencies

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]]> Regulators try to boost fintech adoption https://www.investmentexecutive.com/newspaper_/regulators-report-card/regulators-try-to-boost-fintech-adoption/ Mon, 23 Nov 2020 05:08:00 +0000 https://www.investmentexecutive.com/?p=410921 From e-signatures to artificial intelligence, regulators are trying to get ahead

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]]> A higher opinion https://www.investmentexecutive.com/newspaper_/regulators-report-card/a-higher-opinion/ Fri, 05 Apr 2019 14:18:00 +0000 https://www.investmentexecutive.com/?p=379562 Compliance professionals more satisfied with regulators this year

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]]> Reducing the burden by culling the herd https://www.investmentexecutive.com/newspaper_/regulators-report-card/reducing-the-burden-by-culling-the-herd/ Fri, 05 Apr 2019 14:17:00 +0000 https://www.investmentexecutive.com/?p=379588 Compliance officers still hoping for national regulator, SRO merger

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]]> How we did it https://www.investmentexecutive.com/newspaper_/regulators-report-card/how-we-did-it-3/ Fri, 05 Apr 2019 14:16:00 +0000 https://www.investmentexecutive.com/?p=379563 Regulators’ Report Card 2019

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]]> Big concerns for small firms https://www.investmentexecutive.com/newspaper_/regulators-report-card/big-concerns-for-small-firms/ Fri, 05 Apr 2019 14:15:00 +0000 https://www.investmentexecutive.com/?p=379576 Firm size affects the regulatory experience, compliance officers at small firms lament

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]]> Volatility worries compliance officers https://www.investmentexecutive.com/newspaper_/regulators-report-card/volatility-worries-compliance-officers/ Fri, 05 Apr 2019 14:14:00 +0000 https://www.investmentexecutive.com/?p=379570 Report Card respondents could pick from a predetermined list of threats to revenues, but a portion named "the markets" instead

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]]> MFDA the higher-rated SRO https://www.investmentexecutive.com/newspaper_/regulators-report-card/mfda-the-higher-rated-sro/ Fri, 05 Apr 2019 14:13:00 +0000 https://www.investmentexecutive.com/?p=379587 Ratings up across the board for the fund dealer regulator

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]]> Upcoming hurdles for communication https://www.investmentexecutive.com/newspaper_/regulators-report-card/upcoming-hurdles-for-communication/ Fri, 05 Apr 2019 14:12:00 +0000 https://www.investmentexecutive.com/?p=379590 Compliance executives recognize regulators' efforts, but desire more support

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