This article appears in the June 2021 issue of Investment Executive. Subscribe to the print edition, read the digital edition or read the articles online.
Research by:
Camille Côté, Emily Fox, James Gaughan, Surina Nath, Daniel Reale-Chin
Research editors:
Fiona Collie, Katie Keir
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Advisors still value their independence, but firms can be guides and advocates
From product allocation shifts to differences in the average advisor’s profile, notable distinctions were revealed
How financial advisors rated their firms’ performance
The dealers that came out on top adapted more quickly than their peers
Regulators are also forming a new advisory committee to review SRO consolidation
Three-year plan focuses on CFR enforcement, dispute resolution and crypto
Firm violated securities rules by breaching concentration limits, misleading investors
The Canadian banking industry's push south comes after U.S. President Joe Biden issued a broad executive order calling for increased competition