How advisors rated their firms
Research by:
Ahmad Hathout, Megan Marrelli, Beatrice Paez and Kat Shermack
Research editors:
Fiona Collie and Pablo Fuchs
© 2016 Investment Executive. All rights reserved.
Survey participants raise several concerns
Although the BCSC's ratings increased year-over-year, no other regulators in the survey experienced a similar fortune
IE research journalist Anthony Burton spoke with 108 survey participants from across the investment industry
More than half of the cases heard by FPSC’s disciplinary hearing panel in 2017 resulted in a suspension
Regulator alleges investment fund manager violated mutual fund sales practices rule
The toolkit provides firms and supervisors with ways to improve conduct and strengthen accountability