Regulators’ Report Card 2016
The perception of Canada’s self-regulatory organizations and provincial securities commissions is a little rosier among compliance officers and company executives despite despite volatile markets, an unsettled economic environment and increasing regulation.
Regulators’ Report Card 2016: Regulatory trends
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.
