Investment adviser

RECENT NEWS
Forbes  Jun 25  Comment 
The Securities and Exchange Commission (SEC) has on their website a page entitled, "Investment Advisers: What You Need to Know Before Choosing One" which begins: The Securities and Exchange Commission (SEC) receives many questions about...
Mondo Visione  Jun 3  Comment 
The Securities and Exchange Commission today filed an emergency enforcement action to halt an ongoing fraud by an investment adviser based in Albany, N.Y., who is charged with lying to clients about the success of their investments while stealing...
Mondo Visione  Apr 15  Comment 
The Securities and Exchange Commission today announced charges against a San Diego-based investment advisory firm, its chief executive officer, chief compliance officer, and another employee for misleading investors and breaching their...
Clusterstock  Mar 27  Comment 
FA Insights is a daily newsletter from Business Insider that delivers the top news and commentary for financial advisors. SHILLER: I Tell People To Get An Investment Adviser (The Wall Street Journal) When asked if he tells investors that they...
Wall Street Journal  Jan 31  Comment 
The regulator leveled civil charges over publications and online posts it said were misleading.
guardian.co.uk  Jan 15  Comment 
Hargreaves slashes charges for customers – and £8m off its profits – as regulator demands transparency Hargreaves Lansdown, the UK's biggest investment adviser, has sparked a price war in the fund management industry after slashing charges...
CANOE.ca  Jan 13  Comment 
One of my clients is a bit extreme and sends me a detailed agenda weeks in advance of our quarterly meetings. Although this sometimes feels a bit obsessive to me, I have to admit that it forces me to do my homework.
The Economic Times  Jan 3  Comment 
IIFL today said two of its group companies have received market regulator Sebi's nod to undertake investment advisory services.
New York Times  Nov 15  Comment 
Mark Spangler, an investment adviser, preached the doctrine of acting in his clients’ best interest. But his actions put the lie to his beliefs.     




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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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