Investment Advisor
- S S Infratech
- 2 to 7 Yrs
- Multi-City, India
- 4 years ago
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Job Description
Money managers, investment consultants, and financial planners are regulated in the United States as investment advisers under the U.S. Investment Advisers Act of 1940 (Advisers Act or Act) or similar state statutes. This outline describes the regulation of investment advisers by the U.S. Securities and Exchange Commission (SEC). The Advisers Act is the last in a series of federal statutes intended to eliminate abuses in the securities industry that Congress believed contributed to the stock market crash of 1929 and the depression of the 1930s. The Act is based on a congressionally-mandated study of investment companies, including consideration of investment counsel and investment advisory services, carried out by the SEC during the 1930s.1 The SECs report traced the history and growth of investment advisers and reflected the position that investment advisers could not properly perform their function unless all conflicts of interest between them and their clients were removed. The report stressed that a significant problem in the industry was the existence, either consciously or, more likely, unconsciously, of a prejudice by advisers in favor of their own financial interests. The SECs report culminated in the introduction of a bill that, with some changes, became the Advisers Act. The Act, as adopted, reflects congressional recognition of the delicate fiduciary nature of the advisory relationship, as well as Congress desire to eliminate, or at least expose, all conflicts of interest that might cause advisers, either consciously or unconsciously, to render advice that is not disinterested.2 The outline that follows is divided into five sections, each of which addresses a different question: Who is an investment adviser Which investment advisers must register with the SEC Who must register under the Act How does an investment adviser register under the Act What are the requirements applicable to an investment adviser registered under the Act
Employement Category:
Employement Type: Full timeIndustry: Banking / Financial Services Role Category: Internet MarketingMarketing / Communication Functional Area: Not ApplicableRole/Responsibilies: Investment AdvisorContact Details:
Company: S S InfratechLocation(s): Multi-City, India
Keyskills: online marketing investment advisory marketing international marketing
S S Infratech
  We need new talented and experienced candidates from any part of the world to join us here in our company, We believe in hiring the best fit and helping our team members develop their professional careers within the Group. Please see below the current list of vacancies: Interested candidat...
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