Home In Depth Report Cards 2012 Regulators’ Report Card

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.

April 8, 2012

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 offers gave regulators higher scores in 13 of 17 categories. Fuchs and Li spoke at Investment Executive headquarters in Toronto.

  • April 8, 2012 October 31, 2019
  • 13:00

Treatment of small dealers improving

Although much work remains to be done

  • March 29, 2012 November 11, 2019
  • 23:00

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

  • March 29, 2012 November 11, 2019
  • 23:00

Regulators focus on transparency

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

  • March 29, 2012 November 11, 2019
  • 23:00

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

  • March 29, 2012 November 11, 2019
  • 23:00

Tackling the regulatory burden

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

  • March 29, 2012 November 11, 2019
  • 23:00

Regulators could be more “fair”

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

  • March 29, 2012 November 11, 2019
  • 23:00

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)

  • March 29, 2012 November 11, 2019
  • 23:00