Most say the regulators make it tough for them to survive. But, regulators say, they have a job to do
Quarterly profit survey
Legacy Associates fined $15,000 for compliance violations
But the allure of a less bureaucratic, more entrepreneurial environment is still appealing
Offer applies to external funds and Northwest & Ethical Funds
Trend of more women at mutual fund dealers is driven by flexible working arrangements and receptive women clients
Fund dealer considered to be providing discretionary management
Regulatory panel considered several factors before accepting agreement with Investors Group
Regulators say most failures to apply sales load waiver unintentional
Agrees to acquire fund dealer Global Allocation