Gulf in corporate culture widens
The difference between how advisors with bank-owned dealers and their counterparts with independent firms feel about their corporate culture is more pronounced
- By: Jennifer Cheng
- April 28, 2017 November 9, 2019
- 00:04
Latest news in Report Cards
Advisors favour “best interest” standard
A remarkable 71% of investment advisors support the CSA's proposal to introduce a best interest standard due to the need to elevate industry standards across…
- By: Fiona Collie
- April 28, 2017 November 9, 2019
- 00:03
Finding another home for clients?
There is growing sentiment that financial advice is increasingly available only to high net-worth investors
- By: Charles Bossy
- April 28, 2017 November 9, 2019
- 00:02
Still much room for improvement
The enhanced performance and fee disclosure included in client account statements have yet to make the impact many advisors expected - although some advisors point…
- By: Sophie Allen-Barron
- April 28, 2017 November 9, 2019
- 00:01
Regulators’ Report Card: COs, execs share their views on key issues
Pablo Fuchs, senior editor with Investment Executive and Fiona Collie, staff writer, discuss survey participants’ thoughts about the CSA’s proposal to introduce a best interest…
- By: Fiona Collie, Pablo Fuchs
- April 4, 2017 November 9, 2019
- 09:50
Regulators’ Report Card 2017: Good news for regulators
Pablo Fuchs, senior editor with Investment Executive and Fiona Collie, staff writer, discuss survey participants’ favourable views of the regulators and other key findings in…
- By: Fiona Collie, Pablo Fuchs
- March 31, 2017 November 9, 2019
- 13:00
Regulators’ Report Card: A good job
Regulators' report card
- By: Fiona Collie
- March 31, 2017 November 9, 2019
- 00:00
Empathy for the regulators
Many of the increases in regulators' ratings suggest dealers understand the tough job the regulators have to do. (Includes chart.)
- By: James Langton
- March 30, 2017 November 11, 2019
- 23:45
Regulators make the grade on guidance
Regulators earn kudos for creating pertinent resources and connecting company executives to knowledgeable people on the ground
- By: Beatrice Paez
- March 30, 2017 November 11, 2019
- 23:45
Mixed views on disciplinary proceedings
Some describe the investigative process as a "witch hunt." Others believe enforcement teams consider each situation carefully
- By: Fiona Collie
- March 30, 2017 November 11, 2019
- 23:45
Smallest clients being left behind?
Some firms are dropping more and more of their smallest clients. Other firms adamantly oppose the practice
- By: Megan Harman
- March 30, 2017 November 11, 2019
- 23:45
No great opposition to proposed standard
Many say the industry should be acting in clients' best interest - and regulators should introduce a standard that would apply to dealers and advisors
- By: James Langton
- March 30, 2017 November 11, 2019
- 23:45
How we did it
Compliance officers (COs) and company executives in Canada's investment industry shared their views about the regulators that oversee their businesses once again
- By: Fiona Collie
- March 30, 2017 November 11, 2019
- 23:06
Collaboration is key in audits
Being open with auditors will help them go the extra mile and be as flexible as they can on certain mandates
- By: Charles Bossy
- March 29, 2017 November 11, 2019
- 23:45
How we did it
Finding the categories in which firms are succeeding and those in which firms could improve is at the heart of Investment Executive's (IE) Report Card…
- By: Fiona Collie
- August 26, 2016 November 9, 2019
- 23:05
Advisors’ Report Card 2016: Editors discuss the major themes of this year’s Report Card series
Pablo Fuchs, senior editor with Investment Executive, and Fiona Collie, staff writer, discuss the key trends emerging from this year’s Report Card series. Most notably,…
- By: Pablo Fuchs
- August 26, 2016 November 9, 2019
- 08:30
Newer technology’s increasing importance
Advisors are growing their businesses by embracing modern mobile technology and social media
- By: Beatrice Paez
- August 26, 2016 November 9, 2019
- 00:00
Attention turns to financial planning
The percentage of advisors who create financial plans for clients and the percentage of clients with a financial plan are rising
- By: Rudy Mezzetta
- August 26, 2016 November 9, 2019
- 00:00
The challenge of compliance
As the regulatory environment in the financial services sector continues to evolve, keeping up with a steadily growing list of compliance responsibilities is a major…
- By: Megan Harman
- August 26, 2016 November 9, 2019
- 00:00
Facing a need for fresh blood
The average age of the financial advisors surveyed for Investment Executive's annual Report Card series has been rising over the course of this decade
- By: Kat Shermack
- August 26, 2016 November 9, 2019
- 00:00
Are robo-advisors a threat?
Financial advisors surveyed for Investment Executive's 2016 Report Card series don't consider the emergence of robo-advisors anything to fret about
- By: Megan Marrelli
- August 26, 2016 November 9, 2019
- 00:00
Key traits of successful firms
How advisors feel about their firms overall is evident in the ratings for two specific categories
- By: Fiona Collie
- August 26, 2016 November 9, 2019
- 00:00
Advisors’ Report Card 2016 main chart
How advisors rated their firms
- By: IE Staff
- August 26, 2016 November 9, 2019
- 00:00
Advisors thrive in time of instability
For the average advisor, AUM is up while client numbers were down, which points to rising productivity as measured by AUM/client household. And, on the…
- By: James Langton
- August 26, 2016 November 9, 2019
- 00:00
Seniors’ issues take centre stage
As regulators increase their focus on elderly clients, financial services firms of all descriptions are working diligently to provide products, services and staff training suited…
- By: Jade Hemeon
- August 26, 2016 November 9, 2019
- 00:00