Financial services watchdogs have improved over last year, according to compliance officers and company executives surveyed for the 2019 Investment Executive Regulators’ Report Card.
Financial services watchdogs have improved over last year, according to compliance officers and company executives surveyed for the 2019 Investment Executive Regulators’ Report Card.
Compliance professionals more satisfied with regulators this year
Compliance officers still hoping for national regulator, SRO merger
Firm size affects the regulatory experience, compliance officers at small firms lament
Report Card respondents could pick from a predetermined list of threats to revenues, but a portion named "the markets" instead
Ratings up across the board for the fund dealer regulator
Compliance executives recognize regulators' efforts, but desire more support
Ratings improved for regulators' support of innovation, but there's more work to be done
Findings from the 2023 Report Card series showed advisors are entrepreneurial but still seek business guidance and support from their firms
Branch-based advisors and planners said they appreciated certain support offered by their banks, but there's still room for improvement.
Dealer firms may be losing ground in their quest for financial advisors’ approval, according to this year's Report Card
The Report Card, which celebrates its 30th anniversary in 2023, highlights the resiliency and innovation of many of Canada’s investment advisors in the face of…