How Planners Will Be Affected by New Investment Adviser Regulatory Scheme
- Mass. Sets New Advisor Rules. Mitchell, Donna // American Banker;2/27/2012, Vol. 177 Issue 30, p2
The article notes the Massachusetts Securities Division adopted rules for private investment funds' advisers that are based on a model passed by the North American Securities Administrators Association in December 2011.
- Fed amends investment adviser regulation. Rehm, Barbara A. // American Banker;8/29/1996, Vol. 161 Issue 166, p2
Reports on the US Federal Reserve Board's adoption of a final amendment to its interpretive rule governing investment adviser activities under Regulation Y. Decision against requiring holding companies to give fiduciary customers written disclosures of adviser status.
- Investment advisers may be more forthcoming. Rose, Joan R.; Potter, Debra // Medical Economics;5/22/95, Vol. 72 Issue 10, p13
Reports on the Securities and Exchange Commission's proposed rule which requires professional investment advisers to disclose the services covered by the brokerage fees. Rule's provisions.
- I'm an investment adviser -- you're kidding? Scott, Nick // NZ Business;Oct97, Vol. 11 Issue 9, p52
Examines the Investment Advisers (Disclosure) Act 1996 of New Zealand, and its effects on companies. Effect on the employee which carries out an investment activity; Mandatory disclosure required by the Act; Results of not complying with the Act.
- Voting rights for fund managers. Berger, Matthew // Asian Business Review;Jun96, p16
Reports on the Australian Securities Commission's announcement of plans to provide trustee fund managers with greater control and power over the votes of the shares they hold.
- Grand stand. North, Kim // Money Marketing;1/20/2011, p36
In this article, the author discusses the reasons behind the prohibition on the use of grandfathering on experienced advisers to prevent clients from losing reliable and trusted adviser in the financial services industry in Great Britain.
- Do they deserve less scrutiny? Napach, Bernice // Medical Economics;9/09/96, Vol. 73 Issue 17, p27
Reports on the significance of a 1996 securities bill that threatens to weaken the oversight of investment advisers in the United States. Inadequacy of oversight of financial planners; Details of the bill; Number of state securities commissions that had an adequate oversight program of...
- European Fund Managers Turn Up Heat on Cap Adequacy Plan. Clarke, Jeremy // Securities Industry News;06/04/2001, Vol. 13 Issue 23, p6
Reports on the European Asset Management Association's (EAMA) response to the European Commission's imposition of new capital adequacy directives on asset managers in Europe. Argument by the EAMA that the directives could put them at a serious competitive disadvantage to overseas fund managers;...
- Concerns over narrowing of advice. // Money Marketing;7/7/2011, p28
The article reports on the concerns from Iain Cornish, outgoing chief executive of Yorkshire Building Society, regarding the Financial Conduct Authority's (FCA) regulatory changes which could potentially affect consumers who could not afford expensive and quality financial advice in Great Britain.