A look at three types of managers
Advisors surveyed this year say branch managers can be "good," "bad" or "ugly"
- By: Gian Verano
- April 26, 2012 November 6, 2019
- 11:00
Latest news in Report Cards
Advisors focus on succession
Although many survey respondents are not ready to retire, they know it is a reality they must face
- By: Olivia Glauberzon
- April 26, 2012 November 6, 2019
- 11:00
Regulators earn higher scores in 2012
Pablo Fuchs, senior editor at Investment Executive, and Olivia Li, staff reporter, discuss key themes from the 2012 Regulators’ Report Card. Despite a year of…
- By: Pablo Fuchs
- April 8, 2012 October 31, 2019
- 13:00
Treatment of small dealers improving
Although much work remains to be done
- By: Fiona Collie
- March 29, 2012 November 11, 2019
- 23:00
Collaborative approach is needed
Regulators are doing a fairly good job of including dealers in their review processes, but more can be done, some compliance officers say
- By: Megan Harman
- March 29, 2012 November 11, 2019
- 23:00
Regulators focus on transparency
Compliance officers laud all the regulatory bodies for their efforts in being transparent about their policies
- By: Shivan Micoo
- March 29, 2012 November 11, 2019
- 23:00
Dealers want a national SRO
A merger between IIROC and the MFDA would result in less of a regulatory burden and lower compliance costs, CCOs say
- By: Olivia Glauberzon
- March 29, 2012 November 11, 2019
- 23:00
Tackling the regulatory burden
Compliance officers say the regulators are becoming more aware of the regulatory burden, but are doing little to mitigate it
- By: Rudy Mezzetta
- March 29, 2012 November 11, 2019
- 23:00
Regulators could be more “fair”
Dissatisfaction in the "fairness" categories centres on the perception that regulators are too rigid in their approach
- By: Olivia Li
- March 29, 2012 November 11, 2019
- 23:00
Regulators survive tough year
The chief compliance officers surveyed saw little change at the regulators, despite the difficult year these bodies have faced (Includes chart)
- By: James Langton
- March 29, 2012 November 11, 2019
- 23:00
Will growth persist?
Advisors surveyed for this year’s Report Card series report growth in their books and in their pay, but reeling markets may stand in the way…
- By: Olivia Li
- August 26, 2011 October 31, 2019
- 14:00
Middle managers as mentors
Mid-level managers should be very approachable and have a solid understanding of the business
- By: Iris Leung
- August 26, 2011 October 31, 2019
- 09:55
Rising pay not enough for advisors
Although advisors surveyed for this year’s Report Card series say they are earning more than they did in the past few years, there’s still significant…
- By: Sanam Islam
- August 26, 2011 October 31, 2019
- 09:55
Advisors transcend time of turmoil
Despite a sputtering economy and many challenges along the way, advisors in all channels are continuing to add assets under management, intensifying their focus on…
- By: James Langton
- August 26, 2011 October 31, 2019
- 09:55
Firms step up diversity initiatives
Financial services firms are putting significant efforts into their diversity and inclusion strategies
- By: Olivia Glauberzon
- August 26, 2011 October 31, 2019
- 09:55
Much work needed on tech tools
Advisors across all industry channels report that they often struggle with out-of-date hardware, software that is not user-friendly, systems that aren’t well integrated or inadequate…
- By: Rudy Mezzetta
- August 26, 2011 October 31, 2019
- 09:55
The key to a solid public image
Consumer advertising and marketing support have a direct impact on a firm’s image with the public
- By: Yumi Otagaki
- August 26, 2011 October 31, 2019
- 09:55
Companies failing on financial planning
In this time of economic uncertainty, clients are increasingly turning to financial advisors for help
- By: Yumi Otagaki
- August 26, 2011 October 31, 2019
- 09:55
Firms help advisors emerge from the recession
Advisors are looking for the same marketing support, client communication material and business coaching from their mentors as they did during the height of the…
- By: Olivia Li
- August 26, 2011 October 31, 2019
- 09:55
Insurance firms continue to deliver
Advisors with dedicated sales agencies and independent sales agencies say there is much to like about their firms (includes main chart and one other)
- By: Olivia Li
- July 27, 2011 October 31, 2019
- 15:23
A great divide in advisors’ pay
Independent advisors are seeing rising pay and more satisfaction, while those with dedicated agencies are seeing the opposite (includes chart)
- By: Iris Leung
- July 27, 2011 October 31, 2019
- 15:13
Insurance agents focus on core business
While there are some key differences between dedicated agents and independents, all are increasing their sales of insurance products (includes chart)
- By: James Langton
- July 27, 2011 October 31, 2019
- 14:35
Promotional initiatives gain prominence
The ratings reveal that advisors consider consumer advertising and marketing support to be more important to their businesses
- By: Sanam Islam
- July 27, 2011 October 31, 2019
- 14:35
Retirement takes centre stage
Advisors are placing far greater importance on topics related to the support they receive for clients’ retirement planning
- By: Olivia Li
- July 27, 2011 October 31, 2019
- 14:35
Views differ on technology, back office
Communication is cited as the key reason for solid back-office support. As for tech tools, internal websites draw advisors’ ire
- By: Yumi Otagaki
- July 27, 2011 October 31, 2019
- 14:35