Investor And Industry Perspectives On Investment Advisers And Broker Dealers
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Investor And Industry Perspectives On Investment Advisers And Broker Dealers
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Author : Angela A. Hung
language : en
Publisher: Rand Corporation
Release Date : 2008
Investor And Industry Perspectives On Investment Advisers And Broker Dealers written by Angela A. Hung and has been published by Rand Corporation this book supported file pdf, txt, epub, kindle and other format this book has been release on 2008 with Business & Economics categories.
In theory, financial professionals are relatively distinct: A broker conducts transactions in securities on behalf of others; a dealer buys and sells securities for his or her own accounts; and an investment adviser provides advice to others regarding securities. Broker-dealers and investment advisers are subject to different regulatory structures. But trends in the financial services market since the early 1990s have blurred the boundaries between them. Regulatory reform requires a clearer understanding of the industry's complexities. The U.S. Securities and Exchange Commission asked RAND to conduct this study to examine the professionals' current business practices and whether investors understand differences between and relationships among them. The report describes a heterogeneous industry, with firms taking many different forms and offering a multitude of services and products and with investors failing to distinguish broker-dealers and investment advisers along regulatory lines. Despite this, investors express high levels of satisfaction with the services they receive from their own financial service providers. This satisfaction was much more frequently reported to arise from the personal attention the investor receives than from the actual financial returns arising from this relationship.
Investor And Industry Perspectives On Investment Advisers And Broker Dealers
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Author : Angela Hung
language : en
Publisher:
Release Date : 2020
Investor And Industry Perspectives On Investment Advisers And Broker Dealers written by Angela Hung and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 2020 with categories.
This PDF document was made available as a public service of the RAND Corporation. In recent years, the evolution of the financial service industry has blurred traditional distinctions between broker-dealers and investment advisers and made it difficult to design appropriate regulatory schemes for their professional services. To better understand the industry's dynamics and its effects on individual investors, the U.S. Securities and Exchange Commission (SEC) commissioned RAND to conduct a study of broker-dealers and investment advisers from two perspectives: first, examine investment advisers' and broker-dealers' practices in marketing and providing financial products and services to individual investors; and second, evaluate investors' understanding of the differences between investment advisers' and brokerdealers' financial products and services, duties, and obligations.
Investor And Industry Perspectives On Investment Advisers And Broker Dealers
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Author : Angela A. Hung
language : en
Publisher: Rand Corporation
Release Date : 2008-03-12
Investor And Industry Perspectives On Investment Advisers And Broker Dealers written by Angela A. Hung and has been published by Rand Corporation this book supported file pdf, txt, epub, kindle and other format this book has been release on 2008-03-12 with Law categories.
In theory, financial professionals are relatively distinct: A broker-dealer conducts transactions in securities on behalf of itself and others; and an investment adviser provides advice to others regarding securities. Different laws regulate each type of professional, but boundaries have blurred. This report examines current business practices and investor understanding of each type.
Study On Investment Advisers And Brokerdealers
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Author :
language : en
Publisher: DIANE Publishing
Release Date :
Study On Investment Advisers And Brokerdealers written by and has been published by DIANE Publishing this book supported file pdf, txt, epub, kindle and other format this book has been release on with categories.
Study On Investment Advisers And Broker Dealers
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Author : Barry Leonard
language : en
Publisher: DIANE Publishing
Release Date : 2011-05
Study On Investment Advisers And Broker Dealers written by Barry Leonard and has been published by DIANE Publishing this book supported file pdf, txt, epub, kindle and other format this book has been release on 2011-05 with Business & Economics categories.
Retail investors seek guidance from broker-dealers and investment advisers (BD&IA) to manage their invest. and to meet their own and their families¿ financial goals. BD&IA are regulated extensively, but the regulatory regimes differ, and BD&IA are subject to different standards under fed. law when providing invest. advice (IA) about securities. This report evaluated: (1) The effectiveness of existing legal standards of care for providing personalized IA and recommend. about securities to retail customers; and (2) Whether there are legal gaps in regulatory standards in the protection of retail customers relating to providing personalized IA about securities to retail customers that should be addressed by statute. This is print on demand report.
Research Handbook On The Regulation Of Mutual Funds
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Author : William A. Birdthistle
language : en
Publisher: Edward Elgar Publishing
Release Date : 2018-10-26
Research Handbook On The Regulation Of Mutual Funds written by William A. Birdthistle and has been published by Edward Elgar Publishing this book supported file pdf, txt, epub, kindle and other format this book has been release on 2018-10-26 with Business & Economics categories.
With fifty trillion in worldwide assets, the growth of mutual funds is a truly global phenomenon and deserves a broad international analysis. Local political economies and legal regimes create different regulatory preferences for the oversight of these funds, and academics, public officials, and legal practitioners wishing to understand the global investing environment will require a keen awareness of these international differences. The contributors, leading scholars in the field of investment law from around the world, provide a current legal analysis of funds from a variety of perspectives and using an array of methodologies that consider the large fundamental questions governing the role and regulation of investment funds. This volume also explores the identity and behavior of investors as well as issues surrounding less orthodox funds, such as money market funds, ETFs, and private funds.This Handbook will provide legal and financial scholars, academics, lawyers and regulators with a vital tool for working with mutual funds.
Capital Markets Regulatory Reform
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Author : United States. Congress. House. Committee on Financial Services
language : en
Publisher:
Release Date : 2010
Capital Markets Regulatory Reform written by United States. Congress. House. Committee on Financial Services and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 2010 with Business & Economics categories.
U S Regulation Of The International Securities And Derivatives Markets 12th Edition
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Author : Greene et al.
language : en
Publisher: Wolters Kluwer
Release Date : 2017-05-17
U S Regulation Of The International Securities And Derivatives Markets 12th Edition written by Greene et al. and has been published by Wolters Kluwer this book supported file pdf, txt, epub, kindle and other format this book has been release on 2017-05-17 with Banks and banking, Foreign categories.
Enhancing Investor Protection And The Regulation Of Securities Markets Part Ii S Hrg 111 144 March 26 2009 111 1 Hearing
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Author :
language : en
Publisher:
Release Date : 2010
Enhancing Investor Protection And The Regulation Of Securities Markets Part Ii S Hrg 111 144 March 26 2009 111 1 Hearing written by and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 2010 with categories.
Enhancing Investor Protection And The Regulation Of Securities Markets Part Ii
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Author : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
language : en
Publisher:
Release Date : 2009
Enhancing Investor Protection And The Regulation Of Securities Markets Part Ii written by United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 2009 with Global Financial Crisis, 2008-2009 categories.