Some describe the investigative process as a "witch hunt." Others believe enforcement teams consider each situation carefully
Some firms are dropping more and more of their smallest clients. Other firms adamantly oppose the practice
Compliance officers (COs) and company executives in Canada's investment industry shared their views about the regulators that oversee their businesses once again
Being open with auditors will help them go the extra mile and be as flexible as they can on certain mandates
Pablo Fuchs, senior editor with Investment Executive, and Fiona Collie, staff writer, discuss whether survey participants want to see a merger of the SROs and if regulators should take measures to separate the cost of advice from the cost of investment products.
Pablo Fuchs, senior editor with Investment Executive, and Fiona Collie, staff writer, outline the key findings of the 2016 Regulators’ Report Card. Ratings are a little rosier this year despite volatile markets and relentless reform in the regulatory environment.
There are conflicting opinions about regulators' auditors and the approach they take during the auditing process
Although regulators usually provide quick responses to registrants, the replies are too cautious in the content they provide
COs and company executives indicated that regulators could take steps to make their policies clearer and more flexible
Fewer resources or smaller compliance departments are making the regulatory burden more onerous for smaller firms