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Week of April 05, 2019
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Regulators’ Report Card
A higher opinion
Compliance professionals more satisfied with regulators this year
April 5, 2019

Regulators’ Report Card
Reducing the burden by culling the herd
Compliance officers still hoping for national regulator, SRO merger
April 5, 2019

Regulators’ Report Card
Big concerns for small firms
Firm size affects the regulatory experience, compliance officers at small firms lament
April 5, 2019

Regulators’ Report Card
Volatility worries compliance officers
Report Card respondents could pick from a predetermined list of threats to revenues, but a portion named "the markets" instead
April 5, 2019

Regulators’ Report Card
How we did it
Regulators’ Report Card 2019
April 5, 2019

Regulators’ Report Card
MFDA the higher-rated SRO
Ratings up across the board for the fund dealer regulator
April 5, 2019

Regulators’ Report Card
Upcoming hurdles for communication
Compliance executives recognize regulators' efforts, but desire more support
April 5, 2019

Regulators’ Report Card
Watchdogs respond to rise of fintech
Ratings improved for regulators' support of innovation, but there's more work to be done
April 5, 2019

Report Cards
Regulators’ Report Card 2019
More satisfaction with IIROC, the MFDA and four of the country’s provincial regulators
05 April 2019


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