Home In Depth Report Cards 2014 Regulators’ Report Card

2014 Regulators’ Report Card

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

CRM 2 is expected to have a major impact

The vast majority of COs and executives surveyed for this year's Report Card say the CRM 2 reforms will change the sector

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Lofty markets drive regulators’ ratings

Stronger equities markets have given those surveyed fewer reasons to gripe about the regulators that oversee their businesses. Includes main chart.

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How we did it

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 […]

  • March 28, 2014 September 21, 2018
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Making progress with small dealers

Although there are still many concerns for small dealers, they laud their regulators for making a concerted effort to improve

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Outperformance in communication

COs and executives laud most regulators for keeping firms updated on news and developments and for making staff accessible

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Firms still feel heavy regulatory burden

The SROs are faring better than their provincial counterparts, but all regulators have work to do to improve

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Audit process is now more inclusive

Some regulators are seeing improvements in their ratings, and it's evident they're making an effort to be collaborative

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Stiff opposition to fiduciary duty

Almost six in 10 survey participants are opposed to the introduction of a "best interest" standard for financial advisors

  • March 28, 2014 September 21, 2018
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