Search Results - subject:"Investment advisers"

"Honey, you've got to do what’s right" : common ethical decision-making challenges and strategies of licensed financial advisers

Wilcoxson, Martha; Craft, Jana - In: Qualitative research in financial markets 16 (2024) 1, pp. 183-211

Persistent link: https://www.econbiz.de/10014470999

Deputizing financial institutions to fight elder abuse

Carlin, Bruce Ian; Umar, Tarik; Yi, Hanyi - In: Journal of financial economics 149 (2023) 3, pp. 557-577

Persistent link: https://www.econbiz.de/10014420569

The company you keep : investment adviser clientele and mutual fund performance

Beggs, William - In: Journal of financial intermediation 50 (2022), pp. 1-21

Persistent link: https://www.econbiz.de/10013348120

Navigating the custody rule : a guide for investment advisers

Nelson, William; Ecker, Bradley - In: Journal of securities operations & custody 13 (2021) 3, pp. 243-252

Persistent link: https://www.econbiz.de/10012654230

SEC adopts new disclosure and recordkeeping requirements for investment advisers

Greene, Nathan - In: The journal of investment compliance 18 (2017) 1, pp. 19-24

Persistent link: https://www.econbiz.de/10011662051

The SEC provides new custody rule guidance to investment advisers

Wirig, Matthew T.; Poorbaugh, Kate S. - In: The journal of investment compliance 18 (2017) 2, pp. 9-12

Persistent link: https://www.econbiz.de/10011704623

SEC adopts new disclosure and recordkeeping requirements for investment advisers

Greene, Nathan J. - In: Journal of Investment Compliance 18 (2017) 1, pp. 19-24

Purpose To alert investment advisers to changes to be implemented to the Securities and Exchange Commission’s (SEC … experienced investment adviser attorneys that consolidates the key provisions of which investment advisers should be aware under … new performance reporting record-keeping requirements. Findings The Form ADV amendments are significant. Investment …

Persistent link: https://www.econbiz.de/10014893632

The SEC provides new custody rule guidance to investment advisers

Wirig, Matthew T.; Poorbaugh, Kate S. - In: Journal of Investment Compliance 18 (2017) 2, pp. 9-12

regarding Rule 206(4)-2 (the “Custody Rule”) under the Investment Advisers Act of 1940. Design/methodology/approach This article …

Persistent link: https://www.econbiz.de/10014893687

Can ethics be taught? : evidence from securities exams and investment adviser misconduct

Kowaleski, Zachary T.; Sutherland, Andrew; Vetter, Felix W. - In: Journal of financial economics 138 (2020) 1, pp. 159-175

Persistent link: https://www.econbiz.de/10012631948

Female financial advisers : where art thou?

Richards, Daniel W.; Roberts, Helen; Whiting, Rosalind H. - In: Australian journal of management 45 (2020) 4, pp. 624-644

Persistent link: https://www.econbiz.de/10012391849