The perception of Canada’s self-regulatory organizations and provincial securities commissions is a little rosier among compliance officers and company executives despite despite volatile markets, an unsettled economic environment and increasing regulation.
March 29, 2016Pablo Fuchs, senior editor with Investment Executive, and Fiona Collie, staff writer, discuss whether survey participants want to see a merger of the SROs and if regulators should take measures to separate the cost of advice from the cost of investment products.
Pablo Fuchs, senior editor with Investment Executive, and Fiona Collie, staff writer, outline the key findings of the 2016 Regulators’ Report Card. Ratings are a little rosier this year despite volatile markets and relentless reform in the regulatory environment.
There are conflicting opinions about regulators' auditors and the approach they take during the auditing process
Although regulators usually provide quick responses to registrants, the replies are too cautious in the content they provide
COs and company executives indicated that regulators could take steps to make their policies clearer and more flexible
Fewer resources or smaller compliance departments are making the regulatory burden more onerous for smaller firms
A slight, but nonetheless vocal majority believe now is the time to eliminate embedded commissions
An IIROC/MFDA merger, which 80% of survey participants support, has been the subject of long-running debate
For the eighth year in a row, compliance officers (COs) and company executives throughout the investment industry shared their thoughts about the regulators.
Despite volatile markets, an uncertain economic environment and increasing regulation, Canada's regulators are holding their own
This package summarizes data from the Brokerage, Dealers' and Bank reports, looking at trends across the financial advice industry.
Most retail branch advisors and planners were optimistic in this year's report, giving consistent or improved reviews for their banks' support
This annual report explores the priorities of advisors with full-service or mutual fund-only firms across Canada, looking at 11 dealers.
The annual Report Card reveals the priorities and business needs of investment advisors across Canada, assessing 14 investment dealers. Here's a look at advisors' technology,…