Industry News

Regulators’ Report Card 2017

Despite opposition from many in the investment industry to regulators implementing or proposing fundamental reforms, there's a greater understanding of the difficult job the self-regulatory organizations and provincial securities commissions have to do.

In this Special Feature

  • Regulators’ Report Card: A good job

    Regulators' report card

    Front Page
  • Regulators’ Report Card 2017: Good news for regulators

    Pablo Fuchs, senior editor with Investment Executive and Fiona Collie, staff writer, discuss survey participants’ favourable views of the regulators and other key findings in the Report Card.

    Industry News
  • Regulators’ Report Card: COs, execs share their views on key issues

    Pablo Fuchs, senior editor with Investment Executive and Fiona Collie, staff writer, discuss survey participants’ thoughts about the CSA’s proposal to introduce a best interest standard and whether their firms are encouraging advisors to drop the smallest clients from their books of business.

    Industry News
  • Empathy for the regulators

    Many of the increases in regulators' ratings suggest dealers understand the tough job the regulators have to do. (Includes chart.)

    Regulators’ Report Card
  • No great opposition to proposed standard

    Many say the industry should be acting in clients' best interest - and regulators should introduce a standard that would apply to dealers and advisors

    Regulators’ Report Card
  • How we did it

    Regulators’ Report Card
  • Smallest clients being left behind?

    Some firms are dropping more and more of their smallest clients. Other firms adamantly oppose the practice

    Regulators’ Report Card
  • Collaboration is key in audits

    Being open with auditors will help them go the extra mile and be as flexible as they can on certain mandates

    Regulators’ Report Card
  • Mixed views on disciplinary proceedings

    Some describe the investigative process as a "witch hunt." Others believe enforcement teams consider each situation carefully

    Regulators’ Report Card
  • Regulators make the grade on guidance

    Regulators earn kudos for creating pertinent resources and connecting company executives to knowledgeable people on the ground

    Regulators’ Report Card