Firms need to step up on pay
Although advisors have built up their assets under management over the past year, their pay is either going down or stagnant. Advisors also are dissatisfied…
- By: Clare O’Hara
- May 24, 2013 November 16, 2019
- 12:00
Latest news in Report Cards
Big shift in ratings for four dealers
Two firms saw their ratings rise significantly — while two firms saw their scores decrease significantly — in several categories
- By: Rudy Mezzetta
- May 24, 2013 November 16, 2019
- 12:00
Dealer reps report strong growth
Average AUM and productivity are sky-high this year, and it's the channel's top producers leading the way. Not only have their books of business and…
- By: James Langton
- May 24, 2013 November 16, 2019
- 12:00
2013 Brokerage Report Card: RBC scores increase in 36 of 38 categories
Mike Scott of DS explains the strategies that enabled RBC to remain top-ranked among the bank-owned brokerages in the 2013 Brokerage Report Card
- By: Mike Scott
- May 3, 2013 October 31, 2019
- 09:24
2013 Brokerage Report Card: TD gains in 34 out of 38 categories
Mike Reilly talks about TD’s improvement in 34 out of 38 categories in the 2013 Brokerage Report Card
- By: Mike Reilly
- May 1, 2013 October 31, 2019
- 09:05
2013 Brokerage Report Card: Editors discuss the results
Pablo Fuchs and Clare O’Hara, staff writer, discuss key findings from the 2013 Brokerage Report Card
- By: Pablo Fuchs
- April 26, 2013 October 31, 2019
- 11:30
Firms take two roads
Some of the firms that have tweaked their compensation programs were punished, while those that maintained a steady grid were praised
- By: Megan Harman
- April 26, 2013 November 6, 2019
- 11:00
All eyes on financial planning
Brokerage firms and their advisors are putting a greater emphasis on making sure that their clients have financial plans. One advisor says financial planning is…
- By: Clare O’Hara
- April 26, 2013 November 6, 2019
- 11:00
Three firms up, three firms down
Six brokerages in this year's Report Card have experienced a shift in their fortunes year-over-year
- By: Rudy Mezzetta
- April 26, 2013 November 6, 2019
- 11:00
How we did it
Compiling the 2013 Brokerage Report Card
- By: Clare O’Hara
- April 26, 2013 November 6, 2019
- 11:00
A year of notable growth
Financial advisors at 13 brokerages say that they and their firms are no longer in a state of recovery they are already seeing significant increases…
- By: Clare O’Hara
- April 26, 2013 November 6, 2019
- 11:00
Advisors back in growth mode
Although the road back from the financial crisis has been long and slow for Canada's brokers, they finally are seeing their books of business surpass…
- By: James Langton
- April 26, 2013 November 6, 2019
- 11:00
Brokerages focus in on diversity
Advisors say their firms are doing a good job at welcoming women and minorities into the brokerage sector
- By: Brent Jolly
- April 26, 2013 November 6, 2019
- 11:00
Valuable members of the team
Advisors were asked to rate their sales assistants for the first time in this year’s Brokerage Report Card
- By: Tessie Sanci
- April 26, 2013 November 6, 2019
- 11:00
Firms improve marketing support
Some bank-owned investment dealers have followed in the footsteps of the top-performing firms by introducing specialized marketing support services that focus on providing customized strategies
- By: Dane Taylor
- April 26, 2013 November 6, 2019
- 11:00
Much work to do on tech, back office
Despite many changes taking place within the economy and in the investment industry itself, advisors are still dissatisfied with their firms' technology tools, as well…
- By: Fiona Collie
- April 26, 2013 November 6, 2019
- 11:00
Social media now accepted
In past years, firms either were prohibiting their advisors from using social media or just beginning to explore its use. Now, most firms have policies…
- By: Justin Da Rosa
- April 26, 2013 November 6, 2019
- 11:00
2013 Brokerage Report Card main chart
How advisors rated their firms
- By: IE Staff
- April 26, 2013 November 6, 2019
- 11:00
A fine balancing act
Canada's regulators have to keep up with global regulatory developments, but in a way that is suitable for the domestic market
- By: Rudy Mezzetta
- March 31, 2013 November 11, 2019
- 14:30
Regulators seen to be too rigid
Three of the four regulators in the Report Card have seen their ratings drop, and those surveyed are unafraid to say why
- By: Jeff Wimbush
- March 31, 2013 November 11, 2019
- 14:30
How we did it
IE expanded the list of survey respondents in order to get a more proper perspective of the provincial regulators
- By: Clare O’Hara
- March 31, 2013 November 11, 2019
- 14:30
A dichotomy in disciplinary approaches
Compliance officers and the executives surveyed see much improvement with the MFDA and cause for concern with IIROC
- By: Fiona Collie
- March 31, 2013 November 11, 2019
- 14:30
Regulators step up communication efforts
Being better informed, having access to a regulator's staff and receiving prompt responses were the key reasons for success
- By: Clare O’Hara
- March 31, 2013 November 11, 2019
- 14:30
2013 Regulators’ Report Card: Editors discuss key changes
Pablo Fuchs and Clare O’Hara discuss improved scores for the MFDA and key changes to the structure of this year’s Report Card
- By: Pablo Fuchs
- March 31, 2013 October 31, 2019
- 14:30
A dramatic shift in regulators’ fortunes
There has been a big change in the firms' views of the SROs, with the ratings for the MFDA now surpassing IIROC's. Includes main chart:…
- By: James Langton
- March 31, 2013 November 11, 2019
- 14:30