Financial services watchdogs have improved over last year, according to compliance officers and company executives surveyed for the 2019 Investment Executive Regulators’ Report Card.
Financial services watchdogs have improved over last year, according to compliance officers and company executives surveyed for the 2019 Investment Executive Regulators’ Report Card.
Compliance professionals more satisfied with regulators this year
Compliance officers still hoping for national regulator, SRO merger
Firm size affects the regulatory experience, compliance officers at small firms lament
Report Card respondents could pick from a predetermined list of threats to revenues, but a portion named "the markets" instead
Ratings up across the board for the fund dealer regulator
Compliance executives recognize regulators' efforts, but desire more support
Ratings improved for regulators' support of innovation, but there's more work to be done
This Report Card summarizes data from each of the Brokerage, Dealers' and Bank reports, looking at the trends across the financial advice industry
This year's research reveals how well the Big Six are meeting branch advisors' need for coaching, fair pay and effective tools
Advisor satisfaction across most of the 11 full-service and mutual fund dealers in the Report Card has held steady or improved compared with 2023
The Report Card, which has been published for more than 30 years, explores the concerns and needs of investment advisors in Canada as their firms…