Regulators’ Report Card 2017
Despite opposition from many in the investment industry to regulators implementing or proposing fundamental reforms, there’s a greater understanding of the difficult job the self-regulatory organizations and provincial securities commissions have to do.
Regulators’ Report Card: COs, execs share their views on key issues
Pablo Fuchs, senior editor with Investment Executive and Fiona Collie, staff writer, discuss survey participants’ thoughts about the CSA’s proposal to introduce a best interest standard and whether their firms are encouraging advisors to drop the smallest clients from their books of business.
