Welcome to Investment Executive’s annual Regulators’ Report Card, which asks compliance-focused professionals to rate Canada’s key securities regulators and self-regulatory organizations. For nearly a decade, and using average ratings, this Report Card has examined how well each regulator that’s included has communicated with and assisted the financial advice industry as well as adapted to change. By rating the regulators you deal with — in various categories, from the fairness of their policy decisions to the value of their fees — you’ll be able to share your experience and provide feedback.
All responses are anonymous and confidential.
