IE - Investment Executive

In this Special Feature

• Regulators earn higher scores in 2012

  Pablo Fuchs, senior editor at Investment Executive, and Olivia Li, staff reporter, discuss key themes from the 2012 Regulators’ Report Card. Despite a year of turmoil, compliance officers gave regulators higher scores in 13 of 17 categories. Fuchs and Li spoke at Investment Executive headquarters in Toronto.

  Industry News  - April 08, 2012 at 14:00

• Regulators survive tough year

  The chief compliance officers surveyed saw little change at the regulators, despite the difficult year these bodies have faced (Includes chart)

  Regulators’ Report Card  - March 30, 2012 at 00:00

• Tackling the regulatory burden

  Compliance officers say the regulators are becoming more aware of the regulatory burden, but are doing little to mitigate it

  Regulators’ Report Card  - March 30, 2012 at 00:00

• Regulators focus on transparency

  Compliance officers laud all the regulatory bodies for their efforts in being transparent about their policies

  Regulators’ Report Card  - March 30, 2012 at 00:00

• Treatment of small dealers improving

  Although much work remains to be done

  Regulators’ Report Card  - March 30, 2012 at 00:00

• Regulators could be more “fair”

  Dissatisfaction in the "fairness" categories centres on the perception that regulators are too rigid in their approach

  Regulators’ Report Card  - March 30, 2012 at 00:00

• Dealers want a national SRO

  A merger between IIROC and the MFDA would result in less of a regulatory burden and lower compliance costs, CCOs say

  Regulators’ Report Card  - March 30, 2012 at 00:00

• Collaborative approach is needed

  Regulators are doing a fairly good job of including dealers in their review processes, but more can be done, some compliance officers say

  Regulators’ Report Card  - March 30, 2012 at 00:00