Because the issues related to the investment adviser
regulation are quite complex, they are not fully addressed here.
Typically, in determining whether a violation of the Investment Adviser
Act has occurred, the SEC staff reviews what the adviser has disclosed to its clients and what should have been disclosed.
Hire an unbiased professional investment adviser
with a strict due diligence process for selecting retirement plan investments and is well-versed in the open architecture process.
29 /PRNewswire/ -- Price Waterhouse LLP and AMA Investment Advisers
Black has been associated with the Investment Adviser
or its investment advisory affiliates in an investment management capacity since 1998.
Have the investment adviser
review the rules for the client's company stock options.
The PFP Section of the AICPA will provide updates on changes to the investment adviser
regulations and will continue to make its views known on how these changes might affect CPA financial planners and their clients.
and mutual funds received the strong support of the Investment Company Institute (ICI) today in testimony before the Senate Committee on Banking, Housing and Urban Affairs.
Frequently, the investment adviser
organizes or sponsors the fund and recruits its board members.
SEC Release 2000-38 provides that the SEC will conduct a roundtable on May 23, 2000, to discuss a variety of issues relating to investment advisers
currently on its agenda and to seek industry and public input.
If a CPA wants to provide such advice, he or she must meet the testing and licensing requirements, just like any other investment adviser
In a recent (not yet published) field service advice (FSA) memorandum, the IRS National Office advised that a bank acting as an investment adviser
for its proprietary mutual funds was required to capitalize payments that the bank made to its money market funds to prevent the funds from falling below their targeted net asset values (NAVs).
is a SEC registered investment adviser
and sub-advises the assets of MKG Financial Group, Inc.
They also can go to it for guidance in assigning to an investment adviser
specific responsibilities as part of its management of a client's account.
This article explains key prohibitions against false and misleading advertising by explaining how the SEC applies rule 206(4)-1, Advertisements by Investment Advisers
, of the Investment Adviser
Act of 1940.