Home Regulators' Report Card

Keyword: Regulators’ Report Card

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Deadlines to implement the client-focused reforms were extended, and dealers are working out how to comply with the new requirements

  • By: Katie Keir
  • November 23, 2020 December 11, 2020
  • 00:10
compliance puzzle

Adapting to the pandemic has revealed new efficiencies


From e-signatures to artificial intelligence, regulators are trying to get ahead

Investment Executive Regulators’ Report Card 2019

  • By: Katie Keir
  • April 5, 2019 October 31, 2019
  • 10:25
Compliance Legal Rule Compliancy Conformity Concept

Compliance professionals more satisfied with regulators this year

Simple better than complicated

Compliance officers still hoping for national regulator, SRO merger

Regulators’ Report Card 2019

  • By: Katie Keir
  • April 5, 2019 November 11, 2019
  • 10:16
small businessman looking at big business man

Firm size affects the regulatory experience, compliance officers at small firms lament

Business chart with glowing arrows and world map

Report Card respondents could pick from a predetermined list of threats to revenues, but a portion named "the markets" instead

  • By: Leah Golob
  • April 5, 2019 November 11, 2019
  • 10:14
Flat Illustration concept customer rating on tablets

Ratings up across the board for the fund dealer regulator