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Conflict of interests in high-tech investment advisory
What are the potential sources of conflict of interests in investment advisory services and how should the law design legal tools of retail investor protection? These are the questions addressed by this book, which explores the new legal challenges of investor protection in the context of digital investment platforms and genAI advisors. The author analyses the investor protection tools provided by competition law, regulatory and private law frameworks, taking Brazil as case study, where investment advisory experienced a unique market change and a major regulatory reform. This book addresses a worldwide audience and concludes with a set of policy recommendations.
Study on Investment Advisers and Broker-Dealers
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.
Choosing the Right Investment Advisor
If you met your investment advisor at a party or hired him because he coaches your sons hockey team, you may not have researched his credentials, ethics, and financial performance. Dont be afraid to correct the situation. If you are seeking to hire an investment advisor, either for the first time or to replace your current one, equip yourself with the knowledge you need to make the right choice. Author Carol A. Santamaura, an investment advisor, specializes in growing wealth for investors. The principles she shares in this guidebook focus on Canada but can be ap-plied anywhere. They include how to under-stand what kind of investor you are, avoid psychological pitfalls of investing, interview investment advisor candidates, and cultivate a successful relationship with your advisor. Take off your blinders so you can see past the charismatic salesperson with the convincing pitch. By balancing short- and long-term objectives and investing in an efficient manner, you can achieve your financial goals. It all starts with Choosing the Right Investment Advisor.
Ineffective Habits of Financial Advisors (and the Disciplines to Break Them)
A how to guide to avoiding the mistakes ineffective financial advisors most often make Based on a 15-year consulting program that author Steve Moore has led for financial advisors, Ineffective Habits of Financial Advisors (and the Disciplines to Break Them): A Framework for Avoiding the Mistakes Everyone Else Makes details proven techniques which allow advisors to transform their business into an elite practice: business analysis, strategic vision, exceptional client service, and acquiring high net worth clients. Told through the story of a purely fictional and completely average financial advisor, each chapter begins with an ineffective habit that is then countered with a discipline that im...
Investment Adviser's Legal and Compliance Guide
Investment Adviser's Legal and Compliance Guide, Second Edition is an invaluable guide written to assist attorneys and investment advisers in both drafting their compliance policies and procedures and reviewing them annually. In addition, the book serves as a practical tool for experienced attorneys and compliance officers for fulfilling their changing responsibilities under new rules adopted under the Investment Advisers Act of 1940, as well as new staff interpretations and guidance. For the Second Edition, the original author, Terrance J. Oand’Malley, is joined by John H. Walsh. While both authors are seasoned practitioners and acknowledged experts in the area of investment adviser compl...
Ineffective Habits of Financial Advisors (and the Disciplines to Break Them)
A how to guide to avoiding the mistakes ineffective financial advisors most often make Based on a 15-year consulting program that author Steve Moore has led for financial advisors, Ineffective Habits of Financial Advisors (and the Disciplines to Break Them): A Framework for Avoiding the Mistakes Everyone Else Makes details proven techniques which allow advisors to transform their business into an elite practice: business analysis, strategic vision, exceptional client service, and acquiring high net worth clients. Told through the story of a purely fictional and completely average financial advisor, each chapter begins with an ineffective habit that is then countered with a discipline that im...
