A slight, but nonetheless vocal majority believe now is the time to eliminate embedded commissions
An IIROC/MFDA merger, which 80% of survey participants support, has been the subject of long-running debate
For the eighth year in a row, compliance officers (COs) and company executives throughout the investment industry shared their thoughts about the regulators.
Despite volatile markets, an uncertain economic environment and increasing regulation, Canada's regulators are holding their own
Pablo Fuchs, senior editor with Investment Executive, and Fiona Collie, staff writer, outline the key findings of the 2015 Regulators’ Report Card. Overall evaluations of Canada's main regulators has remained largely unchanged this year. The exception was the Ontario Securities Commission (OSC), whose ratings declined dramatically year-over-year.
Almost three-quarters of survey participants say the costs and effort needed to be compliant with CRM2 are significant
The Ontario Securities Commission has taken a major hit for its lack of sensitivity and responsiveness to the investment industry
Compliance officers (COs) and senior executives from a cross-section of firms in the investment industry shared their thoughts about the regulators that oversee their businesses with Investment Executive (IE) once again for the seventh annual Regulators’ Report Card. In particular, IE research journalist Kevin Philipupillai spoke with 69 COs and executives with firms regulated by […]
Survey participants question whether regulators should focus so much on developments outside of Canada
IIROC and the MFDA have advisory committees, regional councils and policy roundtables in place through which to receive feedback