Communication takes centre stage
When it comes to communicating with dealers, regulators have stepped up their game; they are being more collaborative
- By: Olivia Glauberzon
- April 1, 2011 November 11, 2019
- 11:55
Latest news in Regulators’ Report Card
A little more love?
Dealers’ relationships with their regulators may be thawing
- By: Olivia Glauberzon
- April 1, 2010 November 11, 2019
- 11:06
Dealers say regulators are getting a bit better at their jobs
Some of the largest increases in this year’s ratings relate to the quality of regulators’ communication with the industry <b>(includes chart)</b>
- By: James Langton
- April 1, 2010 November 11, 2019
- 10:40
Regulators under fire for investigative processes
Dealers are wondering if regulators looked into every client complaint because of media pressure during the downturn
- By: Olivia Glauberzon
- April 1, 2010 November 11, 2019
- 10:02
Satisfaction with regulators increases among small dealers
Although small firms laud regulators’ efforts in communications, they are still concerned about their fees
- By: Olivia Li
- April 1, 2010 November 11, 2019
- 10:01
Dealers concerned that auditors lack expertise
Regulators counter that auditors are well trained but cannot be expected to know everything about a particular business
- By: Olivia Glauberzon
- April 1, 2010 November 11, 2019
- 09:44
Regulators score higher on communication
Dealers still have beefs; but in general, they say, regulators are improving transparency, timeliness
- By: Clare O’Hara
- April 1, 2010 November 11, 2019
- 09:17
High regulation costs still irritate some dealers
Other dealers, however, say they are getting fair value from regulators for the fees they pay
- By: Rudy Mezzetta
- April 1, 2010 November 11, 2019
- 09:16
Inconsistency the issue with enforcement
All dealers are not treated the same; Canada’s regulatory structure shares the blame
- By: Clare O’Hara
- March 31, 2009 November 11, 2019
- 12:19
Improvements are critical for dealer satisfaction
Executives at dealers across Canada cite various ways in which regulators could better serve the financial services industry
- By: James Langton
- March 31, 2009 November 11, 2019
- 12:19
Dealers looking for direction
Guidance and more communication on dealers’ wish lists
- By: Gavin Adamson
- March 31, 2009 November 11, 2019
- 12:19
The cost of regulation is high — perhaps too high
Dealers recognize the worth of regulators but fear they may be paying too much, given the value they receive
- By: Rudy Mezzetta
- March 31, 2009 November 11, 2019
- 12:19
Small dealers struggle under regulatory burden
Most say the regulators make it tough for them to survive. But, regulators say, they have a job to do
- By: Olivia Glauberzon
- March 31, 2009 November 11, 2019
- 12:19
Dealers rate the regulators’ work
The financial services industry can debate the best strategy to deliver regulation, but no one debates the need for regulation. Credible markets require credible oversight.…
- By: IE Staff
- March 31, 2009 November 11, 2019
- 11:42