Keyword: Regulators’ Report Card

96 results found
businessman race hurdle competition

Compliance executives recognize regulators' efforts, but desire more support

  • By: Katie Keir
  • April 5, 2019 November 11, 2019
  • 10:12
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Ratings improved for regulators' support of innovation, but there's more work to be done


xhausted businessman dragging heavy chains

While some of the regulators have seen their ratings remain stable, others have had wild swings in theirs

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Given the results of the 2018 Regulators’ Report Card, implementing a better approach may lead to a better outcome next year

Survey participants raise several concerns

Regulators Report Card masthead April 2018

Although the BCSC's ratings increased year-over-year, no other regulators in the survey experienced a similar fortune

Businessman analysis the stockmarket on labtop Stock Market Investment Online

The investment industry wants regulators to make a decision on embedded commissions once and for all

IE research journalist Anthony Burton spoke with 108 survey participants from across the investment industry

While some survey participants said regulators should be doing more about cybersecurity, others said the onus is on the industry