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Regulators’ Report Card 2019

Financial services watchdogs have improved over last year, according to compliance officers and company executives surveyed for the 2019 Investment Executive Regulators’ Report Card.

April 5, 2019

A higher opinion

Compliance professionals more satisfied with regulators this year

  • April 5, 2019 August 19, 2019
  • 10:18

Reducing the burden by culling the herd

Compliance officers still hoping for national regulator, SRO merger

  • April 5, 2019 August 19, 2019
  • 10:17

How we did it

Regulators’ Report Card 2019

  • April 5, 2019 August 19, 2019
  • 10:16

Big concerns for small firms

Firm size affects the regulatory experience, compliance officers at small firms lament

  • April 5, 2019 August 19, 2019
  • 10:15

Volatility worries compliance officers

Report Card respondents could pick from a predetermined list of threats to revenues, but a portion named "the markets" instead

  • April 5, 2019 August 19, 2019
  • 10:14

MFDA the higher-rated SRO

Ratings up across the board for the fund dealer regulator

  • April 5, 2019 August 19, 2019
  • 10:13

Upcoming hurdles for communication

Compliance executives recognize regulators' efforts, but desire more support

  • April 5, 2019 August 19, 2019
  • 10:12

Watchdogs respond to rise of fintech

Ratings improved for regulators' support of innovation, but there's more work to be done

  • April 5, 2019 August 19, 2019
  • 10:11