Stronger markets have tempered financial services firms’ criticism of those who oversee their businesses. From the April 2014 issue of Investment Executive newspaper.
March 28, 2014
Stronger markets have tempered financial services firms’ criticism of those who oversee their businesses. From the April 2014 issue of Investment Executive newspaper.
March 28, 2014The vast majority of COs and executives surveyed for this year's Report Card say the CRM 2 reforms will change the sector
Stronger equities markets have given those surveyed fewer reasons to gripe about the regulators that oversee their businesses. Includes main chart.
For the sixth year in a row, Investment Executive (IE) spoke with compliance officers (COs) and executives at various financial services firms to find out what they think about both the regulators that oversee their businesses and the important changes to the regulatory environment. This year, like last year, the list of survey participants has […]
Although there are still many concerns for small dealers, they laud their regulators for making a concerted effort to improve
COs and executives laud most regulators for keeping firms updated on news and developments and for making staff accessible
The SROs are faring better than their provincial counterparts, but all regulators have work to do to improve
Some regulators are seeing improvements in their ratings, and it's evident they're making an effort to be collaborative
Almost six in 10 survey participants are opposed to the introduction of a "best interest" standard for financial advisors
Findings from the 2023 Report Card series showed advisors are entrepreneurial but still seek business guidance and support from their firms
Branch-based advisors and planners said they appreciated certain support offered by their banks, but there's still room for improvement.
Dealer firms may be losing ground in their quest for financial advisors’ approval, according to this year's Report Card
The Report Card, which celebrates its 30th anniversary in 2023, highlights the resiliency and innovation of many of Canada’s investment advisors in the face of…