Investment advisers,

RECENT NEWS
Reuters  Oct 14  Comment 
Client assets managed by registered investment advisory groups in the United States jumped by nearly $7 trillion in 2014 as more securities brokers and clients joined the...
TechCrunch  Jul 14  Comment 
 In the world of personal finance, robo-advisers like Betterment, Wealthfront and FutureAdvisor are all the rage now. They invest your money in low-fee index funds for you and reshuffle your portfolio as necessary. That’s a problem for the...
Wall Street Journal  Jul 10  Comment 
Bank of Montreal's latest gambit in the fight for market share in wealth management: Hire more women.
Mondo Visione  Feb 20  Comment 
The Securities and Exchange Commission today announced that its Office of Compliance Inspections and Examinations (OCIE) is launching an initiative directed at investment advisers that have never been examined, focusing on those that have been...
Mondo Visione  Dec 13  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 these firms’ Chief...
SeekingAlpha  Dec 12  Comment 
By Felix Salmon: A year ago, I wondered whether there was an easy personal investment strategy which is better than Vanguard, and looked at two intriguing products — the RealRetirement funds from Pimco, and an online asset manager called...
The Globe and Mail  Nov 24  Comment 
Facing a backlash over commission-based investment management, the financial industry is bracing for a coming wave of pressure to change
Mondo Visione  Nov 20  Comment 
The Securities and Exchange Commission today announced charges against two Tampa-area investment advisers accused of committing fraud by failing to truthfully inform clients about compensation received from offshore funds they were recommending as...
Forbes  Oct 25  Comment 
Let me be clear about this right off the bat: Most investment advisers are probably honest. They are highly regulated, try to do well for their clients and dedicated to the common good (throat clearing sound here).
The Economic Times  Oct 14  Comment 
Sebi has allowed five entities, including Edelweiss Investment and Principal Retirement, to act as investment advisers.




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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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