Dissatisfaction with most of the major regulators that oversee the financial services sector has increased in the past year thanks, in part, to ongoing concern that small dealers are being pushed aside by larger industry players.
April 19, 2018
Dissatisfaction with most of the major regulators that oversee the financial services sector has increased in the past year thanks, in part, to ongoing concern that small dealers are being pushed aside by larger industry players.
April 19, 2018While some of the regulators have seen their ratings remain stable, others have had wild swings in theirs
Survey participants raise several concerns
Although the BCSC's ratings increased year-over-year, no other regulators in the survey experienced a similar fortune
The investment industry wants regulators to make a decision on embedded commissions once and for all
IE research journalist Anthony Burton spoke with 108 survey participants from across the investment industry
While some survey participants said regulators should be doing more about cybersecurity, others said the onus is on the industry
Provincial regulators were recognized for facilitating fintech, but some survey participants still had concerns
Regulators are doing a better job of protecting investors without restricting business, but more needs to be done
The OSC, BCSC and ASC were praised for making life easier for smaller dealers, but the same can't be said for the SROs and the AMF
There are complaints that larger firms comprise an outsized proportion of the SROs' boards and these firms have a greater voice
This package summarizes data from the Brokerage, Dealers' and Bank reports, looking at trends across the financial advice industry.
Most retail branch advisors and planners were optimistic in this year's report, giving consistent or improved reviews for their banks' support
This annual report explores the priorities of advisors with full-service or mutual fund-only firms across Canada, looking at 11 dealers.
The annual Report Card reveals the priorities and business needs of investment advisors across Canada, assessing 14 investment dealers. Here's a look at advisors' technology,…