Regulators’ approach needs improving
COs and company executives indicated that regulators could take steps to make their policies clearer and more flexible
- By: Megan Harman
- March 27, 2016 November 11, 2019
- 23:00
Latest news in Report Cards
Costs of regulatory burden take their toll
Fewer resources or smaller compliance departments are making the regulatory burden more onerous for smaller firms
- By: Ahmad Hathout
- March 27, 2016 November 11, 2019
- 23:00
Desire for SRO merger intensifies
An IIROC/MFDA merger, which 80% of survey participants support, has been the subject of long-running debate
- By: Rudy Mezzetta
- March 27, 2016 November 11, 2019
- 23:00
How we did it
For the eighth year in a row, compliance officers (COs) and company executives throughout the investment industry shared their thoughts about the regulators.
- By: Fiona Collie
- March 27, 2016 November 11, 2019
- 23:00
Perception of regulators is a little rosier
Despite volatile markets, an uncertain economic environment and increasing regulation, Canada's regulators are holding their own
- By: James Langton
- March 27, 2016 November 11, 2019
- 23:00
Advisors’ Report Card 2015: Editors discuss major themes
Pablo Fuchs, senior editor with Investment Executive, and Fiona Collie, staff writer, discuss the results of the Advisors’ Report Card 2015. This year’s Report Card…
- By: Pablo Fuchs
- August 21, 2015 November 9, 2019
- 08:15
Much hope for improvement
Advisors hope the new CRM2 reporting requirements will end their pervasive - and persistent - dissatisfaction with client account statements
- By: Jade Hemeon
- August 20, 2015 November 9, 2019
- 23:00
Continued growth in uncertain times
Advisors are focusing on building their businesses and growing their assets under management at a time when not only has recent economic and financial performance…
- By: James Langton
- August 20, 2015 November 9, 2019
- 23:00
Move to fees is accelerating
CRM2, with its focus on enhancing the investment costs to clients, is transforming advisors' traditional revenue model
- By: James Langton
- August 20, 2015 November 9, 2019
- 23:00
Are advisors ready for CRM2?
Most advisors say they already have transformed their businesses in anticipation of CRM2, but others say the new regulatory regime is bound to be disruptive
- By: Rudy Mezzetta
- August 20, 2015 November 9, 2019
- 23:00
A new landscape
Although advisors are continuing to see significant growth in their books of business, their practices are undergoing a seismic transformation as a result of new…
- By: Fiona Collie
- August 20, 2015 November 9, 2019
- 23:00
Communication is a key priority
Work remains to be done to improve firms' communication efforts with their advisors
- By: Tessie Sanci
- August 20, 2015 November 9, 2019
- 23:00
Firms recommended, but with caveats
A significant percentage of advisors recommended their firm, but a close look reveals that this usually comes with stipulations
- By: Fiona Collie
- August 20, 2015 November 9, 2019
- 23:00
Getting tech tools right
Technology is often a source of dissatisfaction, but some firms have found the right formula
- By: Joy Blenman
- August 20, 2015 November 9, 2019
- 23:00
How to establish a solid back office
Despite multiple complaints across the board, advisors with certain firms say that having strong relationships and competent and proactive staff are key to success with…
- By: Leah Golob
- August 20, 2015 November 9, 2019
- 23:00
Insurance Advisors’ Report Card 2015: Editors discuss key trends
- By: Pablo Fuchs
- July 24, 2015 November 9, 2019
- 08:40
Report Card: Advisors’ big shift
Investments gain greater importance
- By: James Langton
- July 23, 2015 November 9, 2019
- 23:00
A wide divide in ongoing training
As MGAs excel in providing training, dedicated agencies are falling woefully behind
- By: Leah Golob
- July 23, 2015 November 9, 2019
- 23:00
Product shelf matters greatly to advisors
Firms excel at having a rich variety of products and providing advisors with freedom to choose products that suit clients best
- By: Fiona Collie
- July 23, 2015 November 9, 2019
- 23:00
Going the extra mile
Advisors prefer direct managers whom they consider to be partners and do what's necessary to help
- By: Joy Blenman
- July 23, 2015 November 9, 2019
- 23:00
Great assistance in high demand
The correlation between the support advisors receive from - and the ratings they gave — their firms and MGAs is no coincidence
- By: Fiona Collie
- July 23, 2015 November 9, 2019
- 23:00
Engagement letters gaining prominence
The percentage of advisors and clients who have signed engagement letters has risen over the past year
- By: Kelsey Rolfe
- July 23, 2015 November 9, 2019
- 23:00
Falling short on technology
Despite praise for some firms, most advisors were dissatisfied with the tech tools, CMS and financial planning tech available
- By: Rudy Mezzetta
- July 23, 2015 November 9, 2019
- 23:00
A mixed bag in application processing
Advisors with Freedom 55 and GWL were livid with their application processing, while other firms do a solid job
- By: Megan Harman
- July 23, 2015 November 9, 2019
- 23:00