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...

Descripción completa

Detalles Bibliográficos
Autor Corporativo: LRN-RAND Center for Corporate Ethics, Law, and Governance (-)
Otros Autores: Hung, Angela A. (-)
Formato: Libro electrónico
Idioma:Inglés
Publicado: Santa Monica, CA : Rand c2008.
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.