Industry News

2012 Regulators’ Report Card

What do the industry's chief compliance officers think about the regulators that oversee them? Transparency, fairness and a national SRO are among the hot issues.

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
  • 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
  • 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
  • Regulators focus on transparency

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

    Regulators’ Report Card
  • Treatment of small dealers improving

    Although much work remains to be done

    Regulators’ Report Card
  • 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
  • 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
  • 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