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Regulators’ Report Card 2016

The perception of Canada’s self-regulatory organizations and provincial securities commissions is a little rosier among compliance officers and company executives despite despite volatile markets, an unsettled economic environment and increasing regulation.

March 29, 2016

Regulators’ Report Card 2016: Regulatory trends

Pablo Fuchs, senior editor with Investment Executive, and Fiona Collie, staff writer, discuss whether survey participants want to see a merger of the SROs and if regulators should take measures to separate the cost of advice from the cost of investment products.

  • March 29, 2016 December 15, 2017
  • 09:05

Regulators’ Report Card 2016: Editors discuss results

Pablo Fuchs, senior editor with Investment Executive, and Fiona Collie, staff writer, outline the key findings of the 2016 Regulators’ Report Card. Ratings are a little rosier this year despite volatile markets and relentless reform in the regulatory environment.

  • March 28, 2016 December 15, 2017
  • 10:25

Regulators’ responses getting better?

Although regulators usually provide quick responses to registrants, the replies are too cautious in the content they provide

  • March 27, 2016 September 21, 2018
  • 23:00

Regulators’ approach needs improving

COs and company executives indicated that regulators could take steps to make their policies clearer and more flexible

  • March 27, 2016 September 21, 2018
  • 23:00

Costs of regulatory burden take their toll

Fewer resources or smaller compliance departments are making the regulatory burden more onerous for smaller firms

  • March 27, 2016 September 21, 2018
  • 23:00

Time to get rid of commissions?

A slight, but nonetheless vocal majority believe now is the time to eliminate embedded commissions

  • March 27, 2016 September 21, 2018
  • 23:00

Desire for SRO merger intensifies

An IIROC/MFDA merger, which 80% of survey participants support, has been the subject of long-running debate

  • March 27, 2016 September 21, 2018
  • 23:00

How we did it

For the eighth year in a row, compliance officers (COs) and company executives throughout the investment industry shared their thoughts about the regulators.

  • March 27, 2016 September 21, 2018
  • 23:00

Perception of regulators is a little rosier

Despite volatile markets, an uncertain economic environment and increasing regulation, Canada's regulators are holding their own

  • March 27, 2016 September 21, 2018
  • 23:00

Audit process generates mixed views

There are conflicting opinions about regulators' auditors and the approach they take during the auditing process

  • March 27, 2016 September 21, 2018
  • 23:00