Receptiveness to feedback is key
Not only do advisors want access to management, they also want their leaders to make changes based on advisors' suggestions
- By: Fiona Collie
- April 24, 2015 November 9, 2019
- 09:00
Latest news in Report Cards
Advisors split on branch managers
Most advisors favour having non-producing branch managers, but there are some who say the old approach still has value
- By: Kelsey Rolfe
- April 24, 2015 November 9, 2019
- 09:00
Stepping up in wealth management
Whether or not advisors are satisfied with their firms' offerings, several brokerages are bringing in more specialists and making major steps to improve the support…
- By: Joy Blenman
- April 24, 2015 November 9, 2019
- 09:00
Brokerage Report Card 2015 main chart
How advisors rated their firms
- By: IE Staff
- April 24, 2015 November 9, 2019
- 09:00
Time to deliver on promises
Many advisors say their firms can't always be counted on to follow through on their promises
- By: Leah Golob
- April 24, 2015 November 9, 2019
- 09:00
Stronger public image needed
Some advisors clamour for their firms to make greater efforts so that their brands become better known among the public
- By: Anne-Marie Vettorel
- April 24, 2015 November 9, 2019
- 09:00
Technology woes continue
Technology woes continue
- By: Tessie Sanci
- April 24, 2015 November 9, 2019
- 09:00
Advisors split on firms’ payouts
There are great differences among advisors regarding the changes their firms have made to their compensation structures
- By: Megan Harman
- April 24, 2015 November 9, 2019
- 09:00
A further push into record territory
Advisors across the board have seen remarkable growth in their books of business, productivity, client assets and take-home pay. Beneath these headline numbers, there are…
- By: James Langton
- April 24, 2015 February 26, 2020
- 09:00
Firms given a wake-up call
Although advisors reported some good news, in that their books of business rose to an all-time high yet again, they also want their firms to…
- By: Fiona Collie
- April 24, 2015 November 9, 2019
- 09:00
2015 Regulators’ Report Card: Key findings
Pablo Fuchs, senior editor with Investment Executive, and Fiona Collie, staff writer, outline the key findings of the 2015 Regulators’ Report Card. Overall evaluations of…
- By: Pablo Fuchs
- March 27, 2015 November 9, 2019
- 11:00
Stiff opposition to rewarding tipsters
Almost two-thirds of survey participants are opposed to a whistleblower program that pays insiders for tips
- By: James Langton
- March 26, 2015 November 11, 2019
- 23:00
CRM2 is causing a big disruption to business
Almost three-quarters of survey participants say the costs and effort needed to be compliant with CRM2 are significant
- By: Rudy Mezzetta
- March 26, 2015 November 11, 2019
- 23:00
Ratings hold steady for all but the OSC
The Ontario Securities Commission has taken a major hit for its lack of sensitivity and responsiveness to the investment industry
- By: James Langton
- March 26, 2015 November 11, 2019
- 23:00
How we did it
Compliance officers (COs) and senior executives from a cross-section of firms in the investment industry shared their thoughts about the regulators that oversee their businesses…
- By: Fiona Collie
- March 26, 2015 November 11, 2019
- 23:00
Regulators should focus on Canada
Survey participants question whether regulators should focus so much on developments outside of Canada
- By: Fiona Collie
- March 26, 2015 November 11, 2019
- 23:00
SROs stand out in soliciting industry comments
IIROC and the MFDA have advisory committees, regional councils and policy roundtables in place through which to receive feedback
- By: Kevin Philipupillai
- March 26, 2015 November 11, 2019
- 23:00
Regulatory burden more acute than ever
COs and company executives already were reeling from regulatory pressures — and new rules have only added to that burden
- By: Tessie Sanci
- March 26, 2015 November 11, 2019
- 23:00
The necessity of regulatory fees
Most survey participants would like to pay less in regulatory fees, but realize regulators need resources to operate
- By: Megan Harman
- March 26, 2015 November 11, 2019
- 23:00
2014 Advisors’ Report Card: Behind the numbers
Pablo Fuchs, senior editor at Investment Executive, and Clare O’Hara, staff writer, discuss key findings from the 2014 Advisors’ Report Card.
- By: Pablo Fuchs
- August 22, 2014 October 31, 2019
- 11:45
Bracing for major regulatory changes
For the most part, firms are on the ball in helping their advisors deal with the major regulatory changes that are taking place in the…
- By: Catherine Harris
- August 21, 2014 October 31, 2019
- 23:00
Reaching new heights
It's been a great year for advisors, as they are enjoying an all-time high in the average book of business while their firms continue to…
- By: Clare O’Hara
- August 21, 2014 October 31, 2019
- 23:00
A year of growth
Powered by surging stock markets, advisors see gains in key metrics
- By: James Langton
- August 21, 2014 October 31, 2019
- 23:00
Firms deliver, but need to improve
Advisors across all channels of the financial services sector are adamant that their firms are providing independence, a positive work environment and stability. Yet, these…
- By: Jacob Boon
- August 21, 2014 October 31, 2019
- 23:00