adviser


Also found in: Dictionary, Thesaurus, Medical, Acronyms, Encyclopedia, Wikipedia.
Related to adviser: investment adviser
Mentioned in ?
References in periodicals archive ?
Generally, CPAs must register with the SEC as an investment adviser if they fail a two-part test by answering "yes" to the following questions:
Tax advice or investment advice: where is the line?
The Investment Adviser Act of 1940 is the primary federal legislative authority governing SEC-registered investment advisers.
How to prevent investment adviser fraud
He stated that the IRS "will not accept reliance on an opinion from a non-independent tax adviser as proof of reasonable cause and good faith on the part of the taxpayer.
Will a tax opinion still prevent penalties?
This year, a CPA and an adviser firm in Minnesota launched a bank called Venture Bank.
Are you chasing the right solution? (Financial Services)
Declarations for 401(k) certification are expanded to include the fee offset requirement and the acknowledgement that the adviser is acting as a fiduciary of the plan.
DALBAR Announces Enhancements to 401(k) Adviser Certification and Fiduciary Adviser Network (FAN) in Response to DoL Requiring Due Diligence for Advisers
Since Canary, major investment adviser firms under contract to mutual funds have been charged with a variety of schemes, including some involving portfolio managers and founders of investment advisory firms.
The mutual fund trading scandals: implications for CPAs and their clients
Required information as to the reportable transaction includes: transaction name and registration number (if any); transaction type; identification of a substantially similar listed transaction (if any); number of transactions; name and TIN of any investment conduits; affirmation of certain increases in asset basis (if any); name, contact information and fees paid to promoters and tax advisers as to the transaction; principal facts surrounding the transaction; expected tax results; and estimated tax benefits.
Tax shelter Temp. Regs
We are pleased to offer financial advisers a quant-driven long/short fund alternative managed by SSgA's experienced quantitative equity team," said Bill Umphrey, President of Quantitative Investment Advisors.
Quant Long/Short Fund Undergoes Conversion
If a CPA wants to provide such advice, he or she must meet the testing and licensing requirements, just like any other investment adviser.
Working with a solicitor to get new business: how to use external marketers to expand your practice
Technology and adviser regulation, including a new electronic filing and registration system for investment advisers.
Update on investment advisers regulation: the proposed IARD and compliance issues
The Fiduciary Adviser Network (FAN) is a turnkey solution designed to prepare advisers to meet the standards of prudent selection required by PPA.
DALBAR and PLANSPONSOR to Create Fiduciary Adviser Network (FAN)
CPAs in at least three areas have a clear stake in ensuring accurate investment adviser advertising.
Investment adviser advertising: for the uninitiated, the SEC's complex rules can have unintended consequences

Legal browser ?
Full browser ?