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Regulators’ Report Card 2017

Despite opposition from many in the investment industry to regulators implementing or proposing fundamental reforms, there’s a greater understanding of the difficult job the self-regulatory organizations and provincial securities commissions have to do.

April 4, 2017

Regulators’ Report Card: COs, execs share their views on key issues

Pablo Fuchs, senior editor with Investment Executive and Fiona Collie, staff writer, discuss survey participants’ thoughts about the CSA’s proposal to introduce a best interest standard and whether their firms are encouraging advisors to drop the smallest clients from their books of business.

  • April 4, 2017 December 19, 2017
  • 09:50

Regulators’ Report Card 2017: Good news for regulators

Pablo Fuchs, senior editor with Investment Executive and Fiona Collie, staff writer, discuss survey participants’ favourable views of the regulators and other key findings in the Report Card.

  • March 31, 2017 December 19, 2017
  • 13:00

Regulators’ Report Card: A good job

Regulators' report card

  • March 31, 2017 January 19, 2018
  • 00:00

Empathy for the regulators

Many of the increases in regulators' ratings suggest dealers understand the tough job the regulators have to do. (Includes chart.)

  • March 30, 2017 November 22, 2018
  • 23:45

Regulators make the grade on guidance

Regulators earn kudos for creating pertinent resources and connecting company executives to knowledgeable people on the ground

  • March 30, 2017 November 22, 2018
  • 23:45

Mixed views on disciplinary proceedings

Some describe the investigative process as a "witch hunt." Others believe enforcement teams consider each situation carefully

  • March 30, 2017 November 22, 2018
  • 23:45

Smallest clients being left behind?

Some firms are dropping more and more of their smallest clients. Other firms adamantly oppose the practice

  • March 30, 2017 November 22, 2018
  • 23:45

No great opposition to proposed standard

Many say the industry should be acting in clients' best interest - and regulators should introduce a standard that would apply to dealers and advisors

  • March 30, 2017 November 22, 2018
  • 23:45

How we did it

Compliance officers (COs) and company executives in Canada's investment industry shared their views about the regulators that oversee their businesses once again

  • March 30, 2017 November 22, 2018
  • 23:06

Collaboration is key in audits

Being open with auditors will help them go the extra mile and be as flexible as they can on certain mandates

  • March 29, 2017 November 22, 2018
  • 23:45