Study On Investment Advisers And Brokerdealers
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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.
Study On Investment Advisers And Broker Dealers
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Author : United States. Securities and Exchange Commission
language : en
Publisher:
Release Date : 2011
Study On Investment Advisers And Broker Dealers written by United States. Securities and Exchange Commission and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 2011 with Disclosure of information categories.
Study And Recommendations On Improved Investor Access To Registration Information About Investment Advisers And Broker Dealers
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Author : Elisse B. Walter
language : en
Publisher: DIANE Publishing
Release Date : 2011-04
Study And Recommendations On Improved Investor Access To Registration Information About Investment Advisers And Broker Dealers written by Elisse B. Walter and has been published by DIANE Publishing this book supported file pdf, txt, epub, kindle and other format this book has been release on 2011-04 with Reference categories.
The Dodd-Frank Wall Street Reform and Consumer Protection Act required this study of ways to improve the access of investors to registration information about registered and previously registered investment advisers, associated persons of investment advisers, brokers and dealers and their associated persons, and to identify additional information that should be made publicly available. The Act specifies that the study include an analysis of the advantages and disadvantages of further centralizing access to registration information, and identify data pertinent to investors and the method and format for displaying and publishing the data to enhance the information's accessibility and utility to investors. This is a print on demand report.
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.
Ensuring Appropriate Regulatory Oversight Of Broker Dealers And Legislative Proposals To Improve Investment Adviser Oversight
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Author : United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises
language : en
Publisher:
Release Date : 2012
Ensuring Appropriate Regulatory Oversight Of Broker Dealers And Legislative Proposals To Improve Investment Adviser Oversight written by United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 2012 with Business & Economics categories.
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.
Investment Management Law And Regulation
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Author : Harvey E. Bines
language : en
Publisher: Wolters Kluwer
Release Date : 2004-01-01
Investment Management Law And Regulation written by Harvey E. Bines and has been published by Wolters Kluwer this book supported file pdf, txt, epub, kindle and other format this book has been release on 2004-01-01 with Law categories.
In its First Edition, this classic treatise called attention to the duty of reasonable care, the duty of loyalty and the public duty of fiduciaries to the marketplace. Grounded in the idea that prudent investing is to be defined by professional practices accepted as appropriate at the time of investment by the management, thereby permitting such practices to adapt to changing conditions and insights, the field of investment management law and regulation has at its center the goal of a common standard of care for investment.Now in its Second Edition, this definitive guide to investment management law and regulation helps you to profitably adapt to today's new and changing conditions and anticipate tomorrow's regulatory response.Here are just a few of the reasons why Investment Management Law and Regulation will be so valuable to you:Explains and analyzes all the ins and outs of the law, clarifies the complexities, answers your questions, points out pitfalls and helps you avoid themCovers the entire field in one volume, saves you valuable time and effort in finding information and searching through stacks of referencesEnsures compliance with all relevant regulations, makes sure nothing is overlooked, protects you against costly mistakesUpdates you on the latest important changes, tells you what is happening now and what is likely to happen in the future Investment Management Law and Regulation is the only up-to-date volume to offer a comprehensive examination of the field of investment management law, covering everything from financial theory and legal theory to the various aspects of hands-on fund management. It's the only resource of its kind that:Identifies and explains the financial theories that control the development of investment management law across management activitiesGives critical judicial, legislative, and regulatory history that makes recent law and regulation more comprehensibleCovers all areas of regulation governing the activities of investment managers, including marketing, suitability, advisory contacts, fees, exculpation and indemnification, performance, fiduciary obligations, conflicts of interest, best executionProvides the practical tools that help predict more effectively how regulators will respond to new marketplace developments and productsIntegrates investment management law and regulation for all institutional investment managersAnd more Whether you are a manager, broker, banker, or legal counsel, a seasoned professional or just starting out, this treatise will quickly become your most trusted guide through the intricacies of this complex, critical, and closely scrutinized area