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
Latest news in Regulators’ Report Card
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
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
Audit process generates mixed views
There are conflicting opinions about regulators' auditors and the approach they take during the auditing process
- By: Ahmad Hathout
- March 27, 2016 November 11, 2019
- 23:00
Regulators’ responses getting better?
Although regulators usually provide quick responses to registrants, the replies are too cautious in the content they provide
- By: Fiona Collie
- March 27, 2016 November 11, 2019
- 23:00
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
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
How we did it
Compliance officers (COs) and senior executives from a cross-section of firms in the investment industry shared their thoughts about the regulators that oversee their businesses…
- By: Fiona Collie
- March 26, 2015 November 11, 2019
- 23:00
Regulators should focus on Canada
Survey participants question whether regulators should focus so much on developments outside of Canada
- By: Fiona Collie
- March 26, 2015 November 11, 2019
- 23:00
SROs stand out in soliciting industry comments
IIROC and the MFDA have advisory committees, regional councils and policy roundtables in place through which to receive feedback
- By: Kevin Philipupillai
- March 26, 2015 November 11, 2019
- 23:00
Regulatory burden more acute than ever
COs and company executives already were reeling from regulatory pressures — and new rules have only added to that burden
- By: Tessie Sanci
- March 26, 2015 November 11, 2019
- 23:00
The necessity of regulatory fees
Most survey participants would like to pay less in regulatory fees, but realize regulators need resources to operate
- By: Megan Harman
- March 26, 2015 November 11, 2019
- 23:00
Stiff opposition to rewarding tipsters
Almost two-thirds of survey participants are opposed to a whistleblower program that pays insiders for tips
- By: James Langton
- March 26, 2015 November 11, 2019
- 23:00
CRM2 is causing a big disruption to business
Almost three-quarters of survey participants say the costs and effort needed to be compliant with CRM2 are significant
- By: Rudy Mezzetta
- March 26, 2015 November 11, 2019
- 23:00
Ratings hold steady for all but the OSC
The Ontario Securities Commission has taken a major hit for its lack of sensitivity and responsiveness to the investment industry
- By: James Langton
- March 26, 2015 November 11, 2019
- 23:00
Stiff opposition to fiduciary duty
Almost six in 10 survey participants are opposed to the introduction of a "best interest" standard for financial advisors
- By: Rudy Mezzetta
- March 28, 2014 November 11, 2019
- 11:00
CRM 2 is expected to have a major impact
The vast majority of COs and executives surveyed for this year's Report Card say the CRM 2 reforms will change the sector
- By: James Langton
- March 28, 2014 November 11, 2019
- 11:00
Lofty markets drive regulators’ ratings
Stronger equities markets have given those surveyed fewer reasons to gripe about the regulators that oversee their businesses. Includes main chart.
- By: James Langton
- March 28, 2014 November 11, 2019
- 11:00