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2013 Regulators’ Report Card

What do the compliance officers and company executives think about the regulators that oversee them? Applying discretion and OBSI are among the hot issues. From the April 2013 issue of Investment Executive newspaper.

March 31, 2013

A dramatic shift in regulators’ fortunes

There has been a big change in the firms' views of the SROs, with the ratings for the MFDA now surpassing IIROC's. Includes main chart: How the dealers rank the regulators.

  • March 31, 2013 September 11, 2019
  • 14:30

Small dealers’ concerns

Those surveyed say regulators have much work to do

  • March 31, 2013 September 11, 2019
  • 14:30

A more effective OBSI is much needed

The financial services industry has many concerns about giving OBSI more power and its campaign to "name and shame" firms

  • March 31, 2013 September 11, 2019
  • 14:30

A fine balancing act

Canada's regulators have to keep up with global regulatory developments, but in a way that is suitable for the domestic market

  • March 31, 2013 September 11, 2019
  • 14:30

Regulators seen to be too rigid

Three of the four regulators in the Report Card have seen their ratings drop, and those surveyed are unafraid to say why

  • March 31, 2013 September 11, 2019
  • 14:30

How we did it

IE expanded the list of survey respondents in order to get a more proper perspective of the provincial regulators

  • March 31, 2013 September 11, 2019
  • 14:30

A dichotomy in disciplinary approaches

Compliance officers and the executives surveyed see much improvement with the MFDA and cause for concern with IIROC

  • March 31, 2013 September 11, 2019
  • 14:30

Regulators step up communication efforts

Being better informed, having access to a regulator's staff and receiving prompt responses were the key reasons for success

  • March 31, 2013 September 11, 2019
  • 14:30

2013 Regulators’ Report Card: Editors discuss key changes

Pablo Fuchs and Clare O’Hara discuss improved scores for the MFDA and key changes to the structure of this year’s Report Card

  • March 31, 2013 September 8, 2019
  • 14:30