Ratings for TD Wealth Private Investment Advice, BMO Nesbitt Burns and ScotiaMcLeod swung dramatically this year for a variety of reasons. Corporate culture, strategy and…
The difference between how advisors with bank-owned dealers and their counterparts with independent firms feel about their corporate culture is more pronounced
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…
There is growing sentiment that financial advice is increasingly available only to high net-worth investors
The enhanced performance and fee disclosure included in client account statements have yet to make the impact many advisors expected - although some advisors point…
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…
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…
Regulators' report card
Many of the increases in regulators' ratings suggest dealers understand the tough job the regulators have to do. (Includes chart.)
Regulators earn kudos for creating pertinent resources and connecting company executives to knowledgeable people on the ground
Some describe the investigative process as a "witch hunt." Others believe enforcement teams consider each situation carefully
Some firms are dropping more and more of their smallest clients. Other firms adamantly oppose the practice
Many say the industry should be acting in clients' best interest - and regulators should introduce a standard that would apply to dealers and advisors
Compliance officers (COs) and company executives in Canada's investment industry shared their views about the regulators that oversee their businesses once again
Being open with auditors will help them go the extra mile and be as flexible as they can on certain mandates
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…
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,…
Advisors are growing their businesses by embracing modern mobile technology and social media
The percentage of advisors who create financial plans for clients and the percentage of clients with a financial plan are rising
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…
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
Financial advisors surveyed for Investment Executive's 2016 Report Card series don't consider the emergence of robo-advisors anything to fret about
How advisors feel about their firms overall is evident in the ratings for two specific categories
How advisors rated their firms
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…