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Keyword: Regulators’ Report Card

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Investment Executive Regulators’ Report Card 2019

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

businessman race hurdle competition

Compliance executives recognize regulators' efforts, but desire more support

  • By: Katie Keir
  • April 5, 2019 November 11, 2019
  • 10:12
fintech and blockchain icons on financial technology background

Ratings improved for regulators' support of innovation, but there's more work to be done