Investment adviser

New York Times  Apr 29  Comment 
Regulators and others question whether robo-advisers, which assemble investment portfolios online, can grasp clients’ situations the way humans can.  Oct 8  Comment 
NEW CITY ENERGY LIMITED Date of Announcement: 08/10/2015 CHANGE OF INVESTMENT ADVISER AND AIFM OF NEW CITY ENERGY LIMITED ('THE COMPANY') The Directors wish to advise all shareholders that the Company's existing investment...
Mondo Visione  Oct 5  Comment 
The Securities and Exchange Commission today announced fraud charges against Florida-based investment adviser Arthur F. Jacob and his company, Innovative Business Solutions LLC, for allegedly deceiving clients over a period of at least five...
Mondo Visione  Sep 22  Comment 
The Securities and Exchange Commission today announced that a St. Louis-based investment adviser has agreed to settle charges that it failed to establish the required cybersecurity policies and procedures in advance of a breach that compromised...
Wall Street Journal  Sep 2  Comment 
Mergers and acquisitions involving registered investment advisers grew in number and asset size in the first half of 2015, according to data released Wednesday by a unit of Charles Schwab Corp.
MarketWatch  Jun 29  Comment 
An investment adviser was charged by the Securities and Exchange Commission with "cherry-picking" which options trades he allocated to clients. According to the SEC, Mark P. Welhouse of Welhouse & Associates delayed allocation of purchases to...
Clusterstock  Jun 3  Comment 
The professional basketball players of the NBA have twenty-four seconds to drive the ball up the court and take a shot. If they fail, the ball goes over to the other team. So the closer the shot clock gets to expiring, the more desperate the...
Mondo Visione  May 20  Comment 
Thank you, Chair White. And thank you to the staff from the Division of Investment Management (“IM”) who worked so diligently on today’s proposing releases, in particular Dave Grim, Diane Blizzard, Sara Cortes, Dan Chang, Matt DeLesDernier,...
MarketWatch  Apr 16  Comment 
A former J.P. Morgan Chase & Co. investment adviser in New York has been accused by federal authorities of stealing at least $20 million from clients and using the money for his own online trading and to pay his mortgage.


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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]


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