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Regulators’ Report Card 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, 2018

Slideshow: Regulators’ ratings in the past decade

While some of the regulators have seen their ratings remain stable, others have had wild swings in theirs

  • April 19, 2018 July 6, 2018
  • 10:30

Much work to be done

Survey participants raise several concerns

  • March 29, 2018 March 29, 2018
  • 00:24

Dissatisfaction with regulators increases

Although the BCSC's ratings increased year-over-year, no other regulators in the survey experienced a similar fortune

  • March 29, 2018 April 2, 2018
  • 00:19

Time to make a move on commissions

The investment industry wants regulators to make a decision on embedded commissions once and for all

  • March 29, 2018 April 6, 2018
  • 00:18

How we did it

IE research journalist Anthony Burton spoke with 108 survey participants from across the investment industry

  • March 29, 2018 March 29, 2018
  • 00:17

Debating regulators’ role in cybersecurity

While some survey participants said regulators should be doing more about cybersecurity, others said the onus is on the industry

  • March 29, 2018 March 29, 2018
  • 00:16

Regulators focus on fintech

Provincial regulators were recognized for facilitating fintech, but some survey participants still had concerns

  • March 29, 2018 April 18, 2018
  • 00:15

A balancing act for regulators

Regulators are doing a better job of protecting investors without restricting business, but more needs to be done

  • March 29, 2018 March 29, 2018
  • 00:14

Approaches to small firms differ greatly

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

  • March 29, 2018 March 29, 2018
  • 00:13

Small firms call for greater representation

There are complaints that larger firms comprise an outsized proportion of the SROs' boards and these firms have a greater voice

  • March 29, 2018 March 29, 2018
  • 00:12