Back office remains a big concern
Year after year, advisors say their firms fail to live up to expectations when it comes to their back-office departments - and this year is…
- By: Tessie Sanci
- April 24, 2014 November 6, 2019
- 23:00
Latest news in Report Cards
Firms, advisors readying for CRM 2
Advisors and their executives are on the same page when they say the pace of regulatory reform has been overwhelming. But only those firms that…
- By: Megan Harman
- April 24, 2014 November 6, 2019
- 23:00
2014 Regulators’ Report Card: Thriving markets bolster ratings
- By: Pablo Fuchs
- March 28, 2014 October 31, 2019
- 11:30
CRM 2 is expected to have a major impact
The vast majority of COs and executives surveyed for this year's Report Card say the CRM 2 reforms will change the sector
- By: James Langton
- March 28, 2014 November 11, 2019
- 11:00
Lofty markets drive regulators’ ratings
Stronger equities markets have given those surveyed fewer reasons to gripe about the regulators that oversee their businesses. Includes main chart.
- By: James Langton
- March 28, 2014 November 11, 2019
- 11:00
How we did it
For the sixth year in a row, Investment Executive (IE) spoke with compliance officers (COs) and executives at various financial services firms to find out…
- By: Clare O’Hara
- March 28, 2014 November 11, 2019
- 11:00
Making progress with small dealers
Although there are still many concerns for small dealers, they laud their regulators for making a concerted effort to improve
- By: Scott Barber
- March 28, 2014 November 11, 2019
- 11:00
Outperformance in communication
COs and executives laud most regulators for keeping firms updated on news and developments and for making staff accessible
- By: Megan Harman
- March 28, 2014 November 11, 2019
- 11:00
Firms still feel heavy regulatory burden
The SROs are faring better than their provincial counterparts, but all regulators have work to do to improve
- By: Fiona Collie
- March 28, 2014 November 11, 2019
- 11:00
Audit process is now more inclusive
Some regulators are seeing improvements in their ratings, and it's evident they're making an effort to be collaborative
- By: Clare O’Hara
- March 28, 2014 November 11, 2019
- 11:00
Stiff opposition to fiduciary duty
Almost six in 10 survey participants are opposed to the introduction of a "best interest" standard for financial advisors
- By: Rudy Mezzetta
- March 28, 2014 November 11, 2019
- 11:00
Editors review 2013 Advisors’ Report Card highlights
Pablo Fuchs, senior editor at Investment Executive, and Clare O’Hara, staff writer, discuss key themes from the 2013 Advisors’ Report Card. Despite seeing growth in…
- By: Pablo Fuchs
- August 23, 2013 October 31, 2019
- 12:00
Making inroads
Firms are performing strongly in their approaches to diversity in the workplace
- By: Brent Jolly
- August 22, 2013 October 31, 2019
- 23:00
Half the financial planning battle won
Firms and their advisors have embraced financial planning, but it appears clients have not. Advisors cite the time and the complexity involved in preparing a…
- By: Justin Da Rosa
- August 22, 2013 October 31, 2019
- 23:00
Back office a sore spot for many
There's much dissatisfaction regarding firms' back-office departments advisors cite a bevy of concerns
- By: Rudy Mezzetta
- August 22, 2013 October 31, 2019
- 23:00
Book growth and pay not aligned
A key theme of the Report Card series, year in and year out, is that firms could do more on pay. This year, most advisors…
- By: Megan Harman
- August 22, 2013 October 31, 2019
- 23:00
Independence equals satisfaction
Advisors with the nine firms that received the highest ratings are able to build their businesses as they see fit
- By: Tessie Sanci
- August 22, 2013 October 31, 2019
- 23:00
A year of growth for advisors
Across all channels of the financial services industry, advisors report bigger books and client rosters, on average. However, the rates of growth over the past…
- By: James Langton
- August 22, 2013 October 31, 2019
- 23:00
Advisors face hurdles
Concerns focus on firms' back office, technology and receptiveness to advisor feedback. Nonetheless, firms are delivering in the areas in which advisors place the greatest…
- By: Clare O’Hara
- August 22, 2013 October 31, 2019
- 23:00
Advisors thrilled with compliance
Once considered pariahs within financial services firms, compliance officers are now viewed as “partners” in doing business, who are “eager to help” and respond “immediately”
- By: Clare O’Hara
- August 22, 2013 October 31, 2019
- 23:00
It’s time for firms to listen up
Advisors of all stripes say that even though their firms are open to receiving advisors' feedback, their suggestions are seldom put into place - nor…
- By: Jeff Wimbush
- August 22, 2013 October 31, 2019
- 23:00
Editors discuss 2013 Insurance Advisors’ Report Card
Pablo Fuchs, senior editor at Investment Executive, and Clare O'Hara, staff writer, discuss key themes from the 2013 Insurance Advisors’ Report Card. Trends this year…
- By: Pablo Fuchs
- July 26, 2013 October 31, 2019
- 11:00
Report Card: Firms, advisors more enthusiastic about social media
There are clear signs that insurance firms and their advisors are open to the business-building potential of this emerging technology
- By: Clare O’Hara
- July 26, 2013 October 31, 2019
- 10:25
Electronic processing’s coming of age
The way of the future has arrived. Advisors are demanding greater capability to process applications electronically
- By: Brent Jolly
- July 25, 2013 October 31, 2019
- 23:00
Regulation takes centre stage
The insurance sector is readying itself for a new era of increased compliance
- By: Megan Harman
- July 25, 2013 October 31, 2019
- 23:00