investment adviser

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Related to Investment Advisers: Investment Adviser Representative
ThesaurusAntonymsRelated WordsSynonymsLegend:
Noun1.investment adviser - someone who advises others how to invest their money
adviser, advisor, consultant - an expert who gives advice; "an adviser helped students select their courses"; "the United States sent military advisors to Guatemala"
References in periodicals archive ?
A lot has changed in the accounting profession since the Investment Advisers Act of 1940 (Advisers Act).
Except for large investment advisers implicated in the mutual fund trading scandals (see "The Mutual Fund Trading Scandals," JofA, Dec.
In fact, since the SEC began a revenue-sharing probe in April 2003, it has found 14 brokerage firms that took cash from mutual fund investment advisers and 10 funds accepted payments in the form of brokerage commissions on fund trades.
COLLINGWOOD, Ontario -- A new policy designed to give added protection to investment advisers, mutual funds and hedge funds for risks associated with providing asset management products and services to investors was introduced today by St.
Reevaluate investment advisers with respect to the goals.
Securities and Exchange Commission (SEC) held a roundtable on regulation of investment advisers.
He has over ten years of experience as an attorney representing investment advisers with respect to legal issues pertinent to public and private investment funds.
Since the first major market-timing and late-trading scandal broke just over a year ago, there's been a barrage of federal and state enforcement actions against investment advisers who advise mutual funds.
SEC Release 2000-38 provides that the SEC will conduct a roundtable on May 23, 2000, to discuss a variety of issues relating to investment advisers currently on its agenda and to seek industry and public input.
INVESTMENT ADVISERS REPORT A WIDE VARIETY of compensation arrangements with their outside marketers.
Although typically under no contractual obligation to do so, investment advisers occasionally infuse cash into a bond fund to return the fund to its targeted NAV.

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