COs and company executives already were reeling from regulatory pressures — and new rules have only added to that burden
Most survey participants would like to pay less in regulatory fees, but realize regulators need resources to operate
Almost two-thirds of survey participants are opposed to a whistleblower program that pays insiders for tips
The vast majority of COs and executives surveyed for this year's Report Card say the CRM 2 reforms will change the sector
Stronger equities markets have given those surveyed fewer reasons to gripe about the regulators that oversee their businesses. Includes main chart.
For the sixth year in a row, Investment Executive (IE) spoke with compliance officers (COs) and executives at various financial services firms to find out what they think about both the regulators that oversee their businesses and the important changes to the regulatory environment. This year, like last year, the list of survey participants has […]
Although there are still many concerns for small dealers, they laud their regulators for making a concerted effort to improve
COs and executives laud most regulators for keeping firms updated on news and developments and for making staff accessible
The SROs are faring better than their provincial counterparts, but all regulators have work to do to improve