Ensuring Appropriate Regulatory Oversight of Broker-dealers and Legislative Proposals to Improve Investment Adviser Oversight PDF Download
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Author: United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 580
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Book Description
Author: United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 580
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Book Description
Author: Angela A. Hung
Publisher: Rand Corporation
ISBN: 0833045016
Category : Law
Languages : en
Pages : 151
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Book Description
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.
Author: Thomas P. Lemke
Publisher:
ISBN: 9780314832627
Category : Investment advisors
Languages : en
Pages :
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Book Description
Author: United States. Congress. House. Committee on Financial Services
Publisher:
ISBN:
Category : Investment advisors
Languages : en
Pages : 336
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Book Description
Author:
Publisher:
ISBN:
Category :
Languages : en
Pages : 412
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Book Description
Author: Olivia S. Mitchell
Publisher: OUP Oxford
ISBN: 0191506729
Category : Business & Economics
Languages : en
Pages : 362
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Book Description
The market for retirement financial advice has never been more important and yet more in flux. The long-term shift away from traditional defined benefit pensions toward defined contribution personal accounts requires all of us to be more sophisticated today than ever before. However, the landscape for financial advice is changing all over the world, with new rules and regulations transforming the financial advice profession. This volume explores the market for retirement financial advice, to explain what financial advisors do and how to measure performance and impact. Who are these professionals and what standards must they abide by? How do they make money and what are their incentives? How can one protect clients from bad advice, and what is good advice? Does advice alone effect changes in personal habits? Answering these questions, along with new technology that will decrease the delivery costs of advice, will play a transformative role in helping more households receive the quality financial advice that they need. Accordingly, this volume illuminates the market and regulatory challenges so as to enhance consumer, plan sponsor, and regulator decisions.
Author: United States. Congress. House. Committee on Financial Services
Publisher:
ISBN:
Category :
Languages : en
Pages : 256
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Book Description
Author:
Publisher:
ISBN:
Category :
Languages : en
Pages : 368
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Book Description
Author: United States. Congress. House. Committee on Financial Services
Publisher:
ISBN:
Category :
Languages : en
Pages : 280
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Book Description
Author: United States. Congress. House. Committee on Financial Services
Publisher:
ISBN:
Category : Banks and banking
Languages : en
Pages : 450
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Book Description
