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Investment advisers,

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Examining Investment Advisers: The Challenge Continues By SEC Commissioner Elisse B. Walter
Mondo Visione  Apr 17  Comment 
Good morning, it is a pleasure to be back here, among strong allies and good friends at a gathering of securities regulators from across America — men and women who are as committed as I am to investor protection and to safe and stable ...
SEC Seeks Information To Assess Standards Of Conduct And Other Obligations Of Broker-Dealers And Investment Advisers
Mondo Visione  Mar 1  Comment 
The Securities and Exchange Commission today published a request for data and other information to assist the agency in considering whether to make new rules about the standards of conduct and regulatory obligations for broker-dealers and...
Impact of Sebi regulation on investment advisers
The Economic Times  Jan 28  Comment 
For a positive impact on investors, distribution should remain subservient to advice.
Reining in investment advisers
The Hindu Business Line  Jan 27  Comment 
SEBI’s investment adviser regulations leave out many market players offering such services, incidentally or otherwise.
SEBI comes out with stringent norms for investment advisers
The Economic Times  Jan 23  Comment 
The market regulator has given a time period of one year for existing investment advisers to comply with necessary capital adequacy requirements.
Registration must for investment advisers: SEBI
The Hindu Business Line  Jan 22  Comment 
Exempts professionals giving generic views for free of cost
Investment advisers to need CIBIL credit report for Sebi nod
The Economic Times  Oct 14  Comment 
Investment advisers will need to have a good credit report card and satisfactory research capacity to get permission to provide advise to investors in stocks and other capital market segments.
Sebi may cap fees charged by investment advisers
The Economic Times  Sep 16  Comment 
With an aim to crack its whip on investment advisers indulging in unfair trade practices, Sebi is putting in place strict norms for them.
Sebi to regulate investment advisers: Chairman U K Sinha
The Economic Times  Aug 16  Comment 
Market regulator Sebi today said entities providing paid investment advice to various market players will be regulated.




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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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