How we did it
For the sixth year in a row, Investment Executive (IE) spoke with compliance officers (COs) and executives at various financial services firms to find out…
- By: Clare O’Hara
- March 28, 2014 November 11, 2019
- 11:00
Latest news in Regulators’ Report Card
Making progress with small dealers
Although there are still many concerns for small dealers, they laud their regulators for making a concerted effort to improve
- By: Scott Barber
- March 28, 2014 November 11, 2019
- 11:00
Outperformance in communication
COs and executives laud most regulators for keeping firms updated on news and developments and for making staff accessible
- By: Megan Harman
- March 28, 2014 November 11, 2019
- 11:00
Firms still feel heavy regulatory burden
The SROs are faring better than their provincial counterparts, but all regulators have work to do to improve
- By: Fiona Collie
- March 28, 2014 November 11, 2019
- 11:00
Audit process is now more inclusive
Some regulators are seeing improvements in their ratings, and it's evident they're making an effort to be collaborative
- By: Clare O’Hara
- March 28, 2014 November 11, 2019
- 11:00
A dramatic shift in regulators’ fortunes
There has been a big change in the firms' views of the SROs, with the ratings for the MFDA now surpassing IIROC's. Includes main chart:…
- By: James Langton
- March 31, 2013 November 11, 2019
- 14:30
Small dealers’ concerns
Those surveyed say regulators have much work to do
- By: Brent Jolly
- March 31, 2013 November 11, 2019
- 14:30
A more effective OBSI is much needed
The financial services industry has many concerns about giving OBSI more power and its campaign to "name and shame" firms
- By: James Langton
- March 31, 2013 November 11, 2019
- 14:30
A fine balancing act
Canada's regulators have to keep up with global regulatory developments, but in a way that is suitable for the domestic market
- By: Rudy Mezzetta
- March 31, 2013 November 11, 2019
- 14:30
Regulators seen to be too rigid
Three of the four regulators in the Report Card have seen their ratings drop, and those surveyed are unafraid to say why
- By: Jeff Wimbush
- March 31, 2013 November 11, 2019
- 14:30
How we did it
IE expanded the list of survey respondents in order to get a more proper perspective of the provincial regulators
- By: Clare O’Hara
- March 31, 2013 November 11, 2019
- 14:30
A dichotomy in disciplinary approaches
Compliance officers and the executives surveyed see much improvement with the MFDA and cause for concern with IIROC
- By: Fiona Collie
- March 31, 2013 November 11, 2019
- 14:30
Regulators step up communication efforts
Being better informed, having access to a regulator's staff and receiving prompt responses were the key reasons for success
- By: Clare O’Hara
- March 31, 2013 November 11, 2019
- 14:30
Treatment of small dealers improving
Although much work remains to be done
- By: Fiona Collie
- March 29, 2012 November 11, 2019
- 23:00
Collaborative approach is needed
Regulators are doing a fairly good job of including dealers in their review processes, but more can be done, some compliance officers say
- By: Megan Harman
- March 29, 2012 November 11, 2019
- 23:00
Regulators focus on transparency
Compliance officers laud all the regulatory bodies for their efforts in being transparent about their policies
- By: Shivan Micoo
- March 29, 2012 November 11, 2019
- 23:00
Dealers want a national SRO
A merger between IIROC and the MFDA would result in less of a regulatory burden and lower compliance costs, CCOs say
- By: Olivia Glauberzon
- March 29, 2012 November 11, 2019
- 23:00
Tackling the regulatory burden
Compliance officers say the regulators are becoming more aware of the regulatory burden, but are doing little to mitigate it
- By: Rudy Mezzetta
- March 29, 2012 November 11, 2019
- 23:00
Regulators could be more “fair”
Dissatisfaction in the "fairness" categories centres on the perception that regulators are too rigid in their approach
- By: Olivia Li
- March 29, 2012 November 11, 2019
- 23:00
Regulators survive tough year
The chief compliance officers surveyed saw little change at the regulators, despite the difficult year these bodies have faced (Includes chart)
- By: James Langton
- March 29, 2012 November 11, 2019
- 23:00
Regulators’ fine balancing act
Are regulators making markets attractive enough to investors without restricting business for dealers?
- By: Gavin Adamson
- April 1, 2011 November 11, 2019
- 11:55
Beyond a national regulator
Some dealers want consolidation of the SROs
- By: Megan Harman
- April 1, 2011 November 11, 2019
- 11:55
Some regulators boost performance
The MFDA has seen significant improvements to its ratings, while the other regulators have stepped up their efforts (includes chart)
- By: James Langton
- April 1, 2011 November 11, 2019
- 11:55
Disciplinary process draws dealers’ ire
But the MFDA is making some progress, as it’s employing a more collaborative approach with dealers
- By: Sanam Islam
- April 1, 2011 November 11, 2019
- 11:55
Small dealers remain dissatisfied
Firms continue to complain of outrageous fees, policy and procedures that are not applicable to their business models
- By: Clare O’Hara
- April 1, 2011 November 11, 2019
- 11:55