Statements (54)
| Predicate | Object |
|---|---|
| gptkbp:instance_of |
gptkb:United_States_federal_law
|
| gptkbp:bfsLayer |
5
|
| gptkbp:bfsParent |
gptkb:Citi_Global_Private_Banking
|
| gptkbp:addresses |
conflicts of interest
|
| gptkbp:aims_to |
protect investors
|
| gptkbp:amended_by |
Investment Advisers Supervision Coordination Act
|
| gptkbp:applies_to |
individuals and firms providing investment advice
|
| gptkbp:appointed_by |
gptkb:financial_services_company
|
| gptkbp:defines |
investment adviser
|
| gptkbp:effective_date |
1960-09-01
|
| gptkbp:enacted_by |
gptkb:legislation
|
| gptkbp:encourages |
ethical practices in investment advice
|
| gptkbp:enforces |
gptkb:SEC_Division_of_Investment_Management
|
| gptkbp:established |
disclosure requirements
client relationship standards |
| gptkbp:facilitates |
regulatory oversight
|
| gptkbp:has_impact_on |
financial markets
|
| https://www.w3.org/2000/01/rdf-schema#label |
Investment Advisers Act
|
| gptkbp:includes |
anti-fraud provisions
|
| gptkbp:influence |
penalties for violations
|
| gptkbp:influenced_by |
gptkb:Investment_Company_Act_of_1940
|
| gptkbp:is_analyzed_in |
academic research on investment advice.
|
| gptkbp:is_associated_with |
financial advisory services
|
| gptkbp:is_cited_in |
legal cases regarding investment advice
|
| gptkbp:is_considered |
landmark legislation
a consumer protection measure |
| gptkbp:is_criticized_for |
complexity of regulations
|
| gptkbp:is_discussed_in |
financial regulatory literature
|
| gptkbp:is_evaluated_by |
GAO reports
effectiveness in investor protection |
| gptkbp:is_implemented_in |
SEC rules and regulations
|
| gptkbp:is_influenced_by |
market trends
|
| gptkbp:is_linked_to |
fiduciary standards debate
investment performance standards |
| gptkbp:is_opposed_by |
some financial industry groups
|
| gptkbp:is_part_of |
U. S. securities regulation framework
U. S. financial regulatory history the regulatory framework for financial advisers |
| gptkbp:is_referenced_in |
financial planning education
|
| gptkbp:is_related_to |
gptkb:Dodd-Frank_Wall_Street_Reform_and_Consumer_Protection_Act
|
| gptkbp:is_reviewed_by |
Congress periodically
|
| gptkbp:is_subject_to |
judicial review
state regulations as well |
| gptkbp:is_supported_by |
consumer advocacy groups
|
| gptkbp:led_to |
increased transparency in investment management
|
| gptkbp:mandates |
periodic reporting to clients
|
| gptkbp:provides |
fiduciary duty to clients
guidelines for advertising by advisers |
| gptkbp:regulates |
investment advisers
|
| gptkbp:related_to |
gptkb:Securities_Exchange_Act_of_1934
|
| gptkbp:requires |
registration of investment advisers
recordkeeping by advisers written agreements with clients |
| gptkbp:supports |
financial literacy initiatives
|