Investment advisers,

RECENT NEWS
Mondo Visione  Aug 26  Comment 
SIFMA’s Asset Management Group (SIFMA AMG) today released the following statement from Timothy Cameron, managing director and head of SIFMA AMG, after the Securities and Exchange Commission (SEC) announced  new reporting and disclosure...
Mondo Visione  Aug 25  Comment 
The Securities and Exchange Commission today adopted amendments to several Investment Advisers Act rules and the investment adviser registration and reporting form to enhance the reporting and disclosure of information by investment advisers....
Mondo Visione  Jun 28  Comment 
The Securities and Exchange Commission today proposed a new rule that would require registered investment advisers to adopt and implement written business continuity and transition plans.  The proposed rule is designed to ensure that investment...
MarketWatch  Apr 28  Comment 
Investors will realize that most are just bloated fee-sucking closet index funds, says Cullen Roche.
Mondo Visione  Mar 9  Comment 
The Securities and Exchange Commission today announced the opening of registration for its compliance outreach program’s national seminar for investment companies and investment advisers.  The event is intended to help Chief Compliance Officers...
The Hindu Business Line  Sep 24  Comment 
The Securities and Exchange Board of India has cautioned the public at large not to deal with unregistered entities providing investment advisory and research services. In a cautionary st...
The Economic Times  Jul 8  Comment 
Capital market regulator Sebi today barred Saket Jalan and his proprietary firm Orange Financials from acting as investment advisers.
Mondo Visione  Jun 29  Comment 
The Securities and Exchange Commission today announced fraud charges against a Wisconsin-based investment advisory firm and its owner accused of improperly allocating to his personal and business accounts certain options trades that appreciated in...
The Economic Times  Jun 16  Comment 
The regulator said HBJ Capital Services and its promoters /directors have been acting as providing investment advisory services to their clients.
The Hindu Business Line  Jun 4  Comment 
Capital market regulator SEBI has prohibited Ravi Chouksey and his proprietorship firm Gravita Research Company from buying, selling or otherwise dealing in the securities market for fou...




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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. The spellings investment adviser and Investment advisor are both correct. [1]

From advice c.1300 from avis "opinion, it seems to me, in my view. [2]1610s, agent noun from advise. [3]

References

  1. Investment Advisers Act of 1940
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