Regulatory efficiency saves costs and ultimately benefits investors
U.S. regulators settle with firm over unregistered product
Cowan replaces Heather Zordel, who resigned last month
Leadership veterans joining the IIAC's group of advisors include big hitters like Rick Annaert, Steve Donald and Steve Geist
The company failed to file accurate financial statements, the regulator alleges
Regulators require internal compliance expertise
From leadership restructuring to the creation of a new role, it's a busy start to the fall
For greater investor protection, the final exemption imposes primary offering liability
Cited risks from collaboration with industry are unfounded, writes Paul Bourque
Morningstar and As You Sow said the category could make ESG fund comparisons more difficult for investors