Investment adviser

RECENT NEWS
Mondo Visione  Mar 9  Comment 
The Securities and Exchange Commission today announced settled charges against an Austin, Texas-based investment adviser for defrauding his clients through a “cherry-picking” scheme.  The adviser, Robert Mark Magee, who is the principal, sole...
MarketWatch  Feb 26  Comment 
Financial adviser’s bias towards high-cost funds and trading hurts investors,writes Mark Hulbert.
Reuters  Feb 12  Comment 
A Long Island, New York, investment adviser was sentenced to six months in prison on Monday after he pleaded guilty to insider trading in connection with Pfizer Inc's $3.6 billion acquisition of King Pharmaceuticals Inc.
Reuters  Jan 25  Comment 
More executives have departed BlueMountain Capital Management as the hedge fund posted disappointing results last year, two people familiar with the matter said on Wednesday.
The Hindu Business Line  Jan 5  Comment 
SEBI paper moots choosing only one role
The Economic Times  Dec 3  Comment 
Sebi observed that Anirudh Sethi was providing subscription-based services to general investors.
Financial Times  Sep 21  Comment 
Group will lobby to stave off rise of cheap passive funds
Mondo Visione  Aug 23  Comment 
The Securities and Exchange Commission today charged investment adviser Jeremy Drake with defrauding two clients, a high profile professional athlete and the athlete’s wife, by deceiving them about the investment advisory fees they were...




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Investment advisers

A person who gives advice on Investments. Those who work for closed-end companies, are prohibited from disseminating advice known to be deceitful or fraudulent, and from acting as a principal on their own accounts by buying and selling securities between themselves and a client without prior written consent. [1]

Means any person who, for compensation, engages in the business of advising others, either directly or through publications or writings, as to the value of securities or as to the advisability of investing in, purchasing, or selling securities, or who, for compensation and as part of a regular business, issues or promulgates analyses or reports concerning securities. [2] The spellings investment adviser and Investment advisor are both correct.

From advice c.1300 from avis "opinion, it seems to me, in my view. [3]1610s, agent from advise. [4]

References

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