Investor and Industry Perspectives on Investment Advisers and Broker-Dealers
Investor and Industry Perspectives on Investment Advisers and Broker-Dealers

Author: Angela A. Hung

Publisher: Rand Corporation

Published: 2008-03-12

Total Pages: 151

ISBN-13: 0833045016

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In theory, financial professionals are relatively distinct: A broker-dealer conducts transactions in securities on behalf of itself and others; and an investment adviser provides advice to others regarding securities. Different laws regulate each type of professional, but boundaries have blurred. This report examines current business practices and investor understanding of each type.

Enforcement of Corporate and Securities Law
Enforcement of Corporate and Securities Law

Author: Robin Hui Huang

Publisher: Cambridge University Press

Published: 2017-09-28

Total Pages: 553

ISBN-13: 1316738507

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This book assembles the world's most authoritative specialists for a comparative analysis of the enforcement of corporate and securities laws in thirteen national jurisdictions. It examines the enforcement of corporate and securities laws across the globe and across different legal and political systems from an in-depth comparative perspective.