2012 Regulators’ Report Card
What do the industry’s chief compliance officers think about the regulators that oversee them? Transparency, fairness and a national SRO are among the hot issues.
Regulators earn higher scores in 2012
Pablo Fuchs, senior editor at Investment Executive, and Olivia Li, staff reporter, discuss key themes from the 2012 Regulators’ Report Card. Despite a year of turmoil, compliance offers gave regulators higher scores in 13 of 17 categories. Fuchs and Li spoke at Investment Executive headquarters in Toronto.
