Industry News

Regulators’ Report Card 2016

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.

In this Special Feature

  • Regulators’ Report Card 2016: Editors discuss results

    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.

    Industry News
  • Perception of regulators is a little rosier

    Despite volatile markets, an uncertain economic environment and increasing regulation, Canada's regulators are holding their own

    Regulators’ Report Card
  • How we did it

    Regulators’ Report Card
  • Regulators’ Report Card 2016: Regulatory trends

    Pablo 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.

    Industry News
  • Desire for SRO merger intensifies

    An IIROC/MFDA merger, which 80% of survey participants support, has been the subject of long-running debate

    Regulators’ Report Card
  • Time to get rid of commissions?

    A slight, but nonetheless vocal majority believe now is the time to eliminate embedded commissions

    Regulators’ Report Card
  • Costs of regulatory burden take their toll

    Fewer resources or smaller compliance departments are making the regulatory burden more onerous for smaller firms

    Regulators’ Report Card
  • Regulators’ approach needs improving

    COs and company executives indicated that regulators could take steps to make their policies clearer and more flexible

    Regulators’ Report Card
  • Regulators’ responses getting better?

    Although regulators usually provide quick responses to registrants, the replies are too cautious in the content they provide

    Regulators’ Report Card
  • Audit process generates mixed views

    There are conflicting opinions about regulators' auditors and the approach they take during the auditing process

    Regulators’ Report Card