Works matching Legal status of investment advisors

Results: 78

Congress Urged to Force SEC's Hand on Proxy Advisor Regulation.

Published in:

Strategic Finance, 2013, v. 95, n. 4, p. 23

By:

Barlas, Stephen

Publication type:

Article

THE UK STEWARDSHIP CODE.

Published in:

Journal of Corporate Law Studies, 2011, v. 11, n. 2, p. 463, doi. 10.5235/147359711798110574

By:

Roach, Lee

Publication type:

Article

SPOTIFY'S DIRECT LISTING: IS IT A RECIPE FOR GATEKEEPER FAILURE?

Published in:

SMU Law Review, 2019, v. 72, n. 1, p. 177

By:

Horton, Brent J.

Publication type:

Article

ARE HEDGE FUNDS STILL PRIVATE? EXPLORING PUBLICNESS IN THE FACE OF INCOHERENCY.

Published in:

SMU Law Review, 2016, v. 69, n. 2, p. 405

By:

Shelby, Cary Martin

Publication type:

Article

THE FAMILY OFFICE EXCLUSION UNDER THE INVESTMENT ADVISERS ACT OF 1940.

Published in:

SMU Law Review, 2016, v. 69, n. 1, p. 97

By:

Crow, Nathan;
Crespi, Gregory S.

Publication type:

Article

REFLECTIONS ON THE SECURITIES BROKER AS A FIDUCIARY.

Published in:

SMU Law Review, 2015, v. 68, n. 3, p. 845

By:

Poser, Norman S.

Publication type:

Article

Playing the Long Game to Achieve a Uniform Fiduciary Standard.

Published in:

Journal of Financial Planning, 2014, v. 27, n. 12, p. 25

By:

Laby, Arthur B.

Publication type:

Article

The Custody Rule.

Published in:

Journal of Financial Planning, 2013, v. 26, n. 8, p. 26

By:

Stanley, Chris

Publication type:

Article

Chris Winn on Overcoming Your Biggest Compliance Concern, How to Survive an Exam, and the Future of Regulations.

Published in:

2013

By:

Schulaka, Carly

Publication type:

Interview

Supreme Court to Assess Mutual Fund Fees.

Published in:: Journal of Financial Planning, 2009, v. 22, n. 10, p. 10
Publication type:: Article

The Financial Planning Act of 2008.

Published in:

Journal of Financial Planning, 2008, v. 21, n. 10, p. 78

By:

Moisand, Dan

Publication type:

Article

Electronic Document Storage: Separating Compliance Reality from Rumors.

Published in:

Journal of Financial Planning, 2007, v. 20, p. 6

By:

Day, Jo

Publication type:

Article

Court Sides with FPA on B/D Rule Decision; CFP Board Clarifies Ethics Code.

Published in:: Journal of Financial Planning, 2007, v. 20, p. 5
Publication type:: Article

LA DIRECTIVA AIFMD Y SU TRANSPOSICIÓN EN ESPAÑA.

Published in:

Actualidad Jurídica (1578-956X), 2013, n. 35, p. 149

By:

GARCÍA RODRÍGUEZ, ANA

Publication type:

Article

THE FLAWED STATE OF BROKER-DEALER REGULATION AND THE CASE FOR AN AUTHENTIC FEDERAL FIDUCIARY STANDARD FOR BROKER-DEALERS.

Published in:

Fordham Journal of Corporate & Financial Law, 2011, v. 16, n. 1, p. 203

By:

Varnavides, Gary A.

Publication type:

Article

PRUNING THE HEDGE: WHO IS A "CLIENT" AND WHOM DOES AN ADVISER ADVISE?

Published in:

Fordham Journal of Corporate & Financial Law, 2007, v. 12, n. 5, p. 913

By:

Pekarek, Edward

Publication type:

Article

Does Regulatory Jurisdiction Affect the Quality of Investment-Adviser Regulation?.

Published in:

American Economic Review, 2019, v. 109, n. 10, p. 3681, doi. 10.1257/aer.20180412

By:

Charoenwong, Ben;
Kwan, Alan;
Umar, Tarik

Publication type:

Article

Alpha Duties: The Search for Excess Returns and Appropriate Fiduciary Duties.

Published in:

Texas Law Review, 2019, v. 97, n. 3, p. 445

By:

Ayres, Ian;
Fox, Edward

Publication type:

Article

THE RISE OF AUTOMATED INVESTMENT ADVICE: CAN ROBO-ADVISORS RESCUE THE RETAIL MARKET?

Published in:

Chicago-Kent Law Review, 2018, v. 93, n. 1, p. 97

By:

EDWARDS, BENJAMIN P.

Publication type:

Article

COMPUTER AS CONFIDANT: DIGITAL INVESTMENT ADVICE AND THE FIDUCIARY STANDARD.

Published in:

Chicago-Kent Law Review, 2018, v. 93, n. 1, p. 141

By:

IANNARONE, NICOLE G.

Publication type:

Article

The Implications of "Regulation Best Interest: The Broker-Dealer Standard of Conduct" in an Increasingly Regulated Industry.

Published in:

Journal of Corporation Law, 2020, v. 46, n. 1, p. 263

By:

Schadle, Neil S.

Publication type:

Article

JONES V. HARRIS: A FRESH APPROACH TO THE GARTENBERG STANDARD.

Published in:

Delaware Journal of Corporate Law, 2010, v. 35, n. 3, p. 959

By:

Freeman, Kristen J.;
Yeung, Amy Y.

Publication type:

Article

TRUST AND THE REFORM OF SECURITIES REGULATION.

Published in:

Delaware Journal of Corporate Law, 2010, v. 35, n. 3, p. 829

By:

Colombo, Ronald J.

Publication type:

Article

Advisors Involved in Financial Planning.

Published in:

CPA Journal, 2016, v. 86, n. 9, p. 66

By:

Kess, Sidney;
Mendlowitz, Edward

Publication type:

Article

401(k) Plan Design Trends and Insights.

Published in:

CPA Journal, 2016, v. 86, n. 3, p. 62

By:

Geller, Sheldon M.

Publication type:

Article

Tax & Accounting Update.

Published in:: CPA Journal, 2015, v. 85, n. 1, p. 18
Publication type:: Article

The Best of Both Worlds: A Fact-Based Analysis of the Legal Obligations of Investment Advisers and Broker-Dealers and a Framework for Enhanced Investor Protection.

Published in:

Business Lawyer, 2012, v. 68, n. 1, p. 1

By:

Wrona, James S.

Publication type:

Article

Reforming the Regulation of Broker-Dealers and Investment Advisers.

Published in:

Business Lawyer, 2010, v. 65, n. 2, p. 395

By:

Laby, Arthur B.

Publication type:

Article

THE FUTURE OF MARKETING NON-EU ALTERNATIVE INVESTMENT FUNDS IN EUROPE.

Published in:

Banking Law Journal, 2014, v. 131, n. 3, p. 259

By:

SIMS, STEPHEN G.;
BRANDT, PATRICK;
FAUNDEZ, DANIEL F.

Publication type:

Article

THE NOT SO REMOTE RISKS OF RECOMMENDATIONS.

Published in:

Banking Law Journal, 2013, v. 130, n. 2, p. 129

By:

CAIRD, RICHARD;
COULTHARD, SAM;
TRUMAN, KATTALIN

Publication type:

Article

DOWNSTREAM SECURITIES REGULATION.

Published in:

Boston University Law Review, 2014, v. 94, n. 5, p. 1589

By:

KRUG, ANITA K.

Publication type:

Article

DEFINING A NEW PUNCTILIO OF AN HONOR: THE BEST INTEREST STANDARD FOR BROKER-DEALERS.

Published in:

Boston University Law Review, 2012, v. 92, n. 1, p. 291

By:

Di Lorenzo, Nicholas S.

Publication type:

Article

CURRENT ISSUES IN FIDUCIARY LAW.

Published in:

Boston University Law Review, 2011, v. 91, n. 3, p. 1051

By:

LABY, ARTHUR B.

Publication type:

Article

EU regulatory developments.

Published in:: Law & Financial Markets Review, 2011, v. 5, n. 5, p. 412, doi. 10.5235/175214411797474196
Publication type:: Article

US hedge fund oversight in the aftermath of Madoff: finding the right balance.

Published in:

Law & Financial Markets Review, 2009, v. 3, n. 2, p. 139, doi. 10.1080/17521440.2009.11428036

By:

Schwartz, Robert F.;
Katz, Etay

Publication type:

Article

SELLING ADVICE AND CREATING EXPECTATIONS: WHY BROKERS SHOULD BE FIDUCIARIES.

Published in:

Washington Law Review, 2012, v. 87, n. 3, p. 707

By:

Laby, Arthur B.

Publication type:

Article

BROKER-DEALERS AND INVESTMENT ADVISERS: A BEHAVIORAL-ECONOMICS ANALYSIS OF COMPETING SUGGESTIONS FOR REFORM.

Published in:

Michigan Law Review, 2015, v. 113, n. 3, p. 429

By:

Demina, Polina

Publication type:

Article

GETTING BACK TO THE PURPOSE: ANALYZING JONES V. HARRIS ASSOCIATES L.P. IN LIGHT OF SECTION 1(B) OF THE INVESTMENT COMPANY ACT.

Published in:

Marquette Law Review, 2010, v. 94, n. 2, p. 679

By:

Obadina, Oladotun O.

Publication type:

Article

Retail Client's Satisfaction With Investment Advice. Is MiFID II a Desired Regulation?

Published in:

Management Issues / Problemy Zarządzania, 2018, v. 16, n. 2, p. 131, doi. 10.7172/1644-9584.74.7

By:

Kicia, Mariusz;
Muda, Rafał

Publication type:

Article

New Soft Dollar Rules.

Published in:

Financial Analysts Journal, 1986, v. 42, n. 5, p. 12

By:

Gillis, John G.;
Kern, Iver J.

Publication type:

Article

Whose Commissions?

Published in:

Financial Analysts Journal, 1986, v. 42, n. 5, p. 8

By:

Mitchell Jr., Edward C.;
Starke, Wendell M.

Publication type:

Article

THE DOWNSIDE OF JUDICIAL RESTRAINT: THE (NON-)EFFECT OF JONES V. HARRIS.

Published in:

Duke Journal of Constitutional Law & Public Policy, 2010, v. 6, p. 58

By:

Coates IV, John C.

Publication type:

Article

How to prepare for, and survive, an SEC inspection.

Published in:

Journal of Securities Law, Regulation & Compliance, 2008, v. 2, n. 1, p. 87

By:

Yadegari, Steven A.

Publication type:

Article

Resolving the Conflict Between Fiduciary Duties and Socially Responsible Investing.

Published in:

Pace Law Review, 2014, v. 35, n. 2, p. 535

By:

Sanders, William

Publication type:

Article

Review: Is Hedge Fund Registration Necessary?

Published in:

Washington & Lee Law Review, 2013, v. 70, n. 1, p. 705

By:

Verret, J. W.

Publication type:

Article

Is Hedge Fund Adviser Registration Necessary to Accomplish the Goals of the Dodd-Frank Act's Title IV?

Published in:

Washington & Lee Law Review, 2013, v. 70, n. 1, p. 651

By:

Ashworth II, Luther R.

Publication type:

Article

Why Register Hedge Fund Advisers--A Comment.

Published in:

2013

By:

Johnson, Lyman

Publication type:

Opinion

Protecting Older Adults from Financial Exploitation: Proposed Federal Laws and Regulations.

Published in:

Tennessee Bar Journal, 2016, v. 52, n. 6, p. 26

By:

FRANKLIN, MONICA J.

Publication type:

Article

Robo-Advisers Jumping on the Bandwagon: Yet Another Cry for a Uniform Standard.

Published in:

North Carolina Law Review, 2019, v. 97, n. 3, p. 673

By:

RIFKIN, JAKE G.

Publication type:

Article

CROWDFUNDING WITHOUT THE CROWD.

Published in:

North Carolina Law Review, 2017, v. 95, n. 5, p. 1481

By:

IBRAHIM, DARIAN M.

Publication type:

Article