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Investment Adviser |
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Investment adviser A person or an organization that makes the day-to-day decisions regarding a portfolio's investments. Also called a portfolio manager.
Investment Adviser A person or business that provides investing advice or counsel to an investor in exchange for a fee. Investment advisers may interact directly with a client ? e.g. by managing assets ? or may provide passive, general advice on which securities or industries are bullish or bearish. Investment advisers managing more than a certain amount of money must register with the SEC; the actions of all investment advisers are governed by the Investment Advisers Act of 1940. Importantly, it is a criminal offense for investment advisers to provide false or misleading information, and to sell or buy their own securities to or from a client. How to thank TFD for its existence? Tell a friend about us, add a link to this page, add the site to iGoogle, or visit webmaster's page for free fun content. |
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However, such expansion has increased the possibility of running afoul of the investment adviser rules. 04, page 32), the investment adviser profession has thus far avoided accusations of widespread fraudulent practices and the legislative scrutiny that ensues. The policy includes investment adviser professional liability; mutual-fund management and professional liability; excess independent director liability; directors, officers and corporate liability; employment practices liability; and fiduciary liability. |
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