Investment Advice

(redirected from Investment Advising)

Investment Advice

Counsel given to an investor as to which securities to buy or strategies to pursue, usually in exchange for a fee. Investment advice may involve interacting directly with a client (e.g. by managing assets), or simply giving passive, general advice about which securities or industries are bullish or bearish. Investment advisors managing a certain amount of money must register with the SEC; the actions of all investment advisory services are governed by the Investment Advisors Act of 1940. Importantly, it is a criminal offense for investment advisory services to provide false or misleading information, and to sell or buy their own securities to or from a client.
References in periodicals archive ?
He has helped people at or near retirement through investment advising, estate planning, risk management and watching out for their overall financial well-being.
Human Interest offers an online, automated 401(k) for small businesses with built-in investment advising for employees.
Hanson McClain Advisors specialises in retirement planning, investment advising, and 401(k) management with a direct approach to financial planning.
Pakistan's market reform has been accelerating in recent years and the country has received backing from global institutions and overseas capital, making PSX more appealing to global investors than before," said BaoKaijun, an analyst with Shanghai-based Kunyuan Investment Advising Services.
Grimes, managing partner of the investment advising firm Grimes & Co.
Individuals who pass the Series 52 exam qualify to be a Municipal Securities Representative and may work in multiple capacities relating to municipal securities, including underwriting, sales, trading, advising, and consulting with issuers, research, investment advising, and communicating with public investors about municipal securities, including US government and agency securities.
Bank Hapoalim is to expand its business activities in East Asia, with the help of a representative office of Bank Hapoalim Switzerland and through a Hong Kong-based subsidiary which basically deals in investment advising, and also through Poalim Asia Direct, having operations in China.
Serving typically high net worth families boasting a net worth of $50 million and up, MFOs provide a range of services, the core of which are financial and advanced planning, including investment advising, asset protection, insurance and estate planning.
The idea of a new regulatory authority has drawn resistance from the investment advising industry.
Saturna Capital Corporation, a local investment advising company, reached a company milestone during the third quarter of this year: they are now managing $1 billion in assets.
The court said that because this particular director "was a principal and general partner of an investment advising firm, with significant experience in finance and the [industry, he] .
At one time, CPAs heralded financial planning or investment advising as the bright spot in their firms' futures.

Full browser ?