Investor and industry perspectives on investment advisers and broker-dealers
In theory, financial professionals are relatively distinct: A broker conducts transactions in securities on behalf of others; a dealer buys and sells securities for his or her own accounts; and an investment adviser provides advice to others regarding securities. Broker-dealers and investment advise...
Autor Corporativo: | |
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Otros Autores: | |
Formato: | Libro electrónico |
Idioma: | Inglés |
Publicado: |
Santa Monica, CA :
Rand
c2008.
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Edición: | 1st ed |
Colección: | Technical report (Rand Corporation) ;
TR-556-SEC. |
Materias: | |
Ver en Biblioteca Universitat Ramon Llull: | https://discovery.url.edu/permalink/34CSUC_URL/1im36ta/alma991009426456206719 |
Tabla de Contenidos:
- Regulatory and legal background
- View of the industry from published sources
- Insights from industry data
- Documentation and information provided by firms
- Investors' level of understanding.