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2015 Regulators’ Report Card

Compliance officers and senior executives share their thoughts about the regulators that oversee their businesses. From the April 2015 issue of Investment Executive newspaper.

March 27, 2015

2015 Regulators’ Report Card: Key findings

Pablo Fuchs, senior editor with Investment Executive, and Fiona Collie, staff writer, outline the key findings of the 2015 Regulators’ Report Card. Overall evaluations of Canada's main regulators has remained largely unchanged this year. The exception was the Ontario Securities Commission (OSC), whose ratings declined dramatically year-over-year.

  • March 27, 2015 December 15, 2017
  • 11:00

How we did it

Compliance officers (COs) and senior executives from a cross-section of firms in the investment industry shared their thoughts about the regulators that oversee their businesses with Investment Executive (IE) once again for the seventh annual Regulators’ Report Card. In particular, IE research journalist Kevin Philipupillai spoke with 69 COs and executives with firms regulated by […]

  • March 26, 2015 March 26, 2015
  • 23:00

Regulators should focus on Canada

Survey participants question whether regulators should focus so much on developments outside of Canada

  • March 26, 2015 March 26, 2015
  • 23:00

SROs stand out in soliciting industry comments

IIROC and the MFDA have advisory committees, regional councils and policy roundtables in place through which to receive feedback

  • March 26, 2015 March 26, 2015
  • 23:00

Regulatory burden more acute than ever

COs and company executives already were reeling from regulatory pressures — and new rules have only added to that burden

  • March 26, 2015 March 26, 2015
  • 23:00

The necessity of regulatory fees

Most survey participants would like to pay less in regulatory fees, but realize regulators need resources to operate

  • March 26, 2015 March 26, 2015
  • 23:00

Stiff opposition to rewarding tipsters

Almost two-thirds of survey participants are opposed to a whistleblower program that pays insiders for tips

  • March 26, 2015 March 26, 2015
  • 23:00

CRM2 is causing a big disruption to business

Almost three-quarters of survey participants say the costs and effort needed to be compliant with CRM2 are significant

  • March 26, 2015 March 26, 2015
  • 23:00

Ratings hold steady for all but the OSC

The Ontario Securities Commission has taken a major hit for its lack of sensitivity and responsiveness to the investment industry

  • March 26, 2015 January 20, 2018
  • 23:00