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Meanings of registered advisers in English
We have no meanings for "registered advisers" in our records yet.
Usage of registered advisers in English
1
SEC- registeredadvisers must act in client's best interests, or as fiduciaries.
2
Only about 9 percent of registeredadvisers typically get examined by the SEC per year.
3
A big challenge for dually- registeredadvisers is making sure clients know the standards in play and when they apply.
4
The SEC has been ferreting out some of these problems through compliance exams of more than 150 newly registeredadvisers.
5
The agency said that over the next two years, it will examine "a significant percentage" of the registeredadvisers.
6
Currently it is only able to conduct exams of about 8 percent of its 11,000 registeredadvisers.
7
The SEC does not have the staff or financial resources to regularly examine its registeredadvisers, according to a 2011 report by the agency's staff.
8
A Cerulli study from October projected the market share of dually registeredadvisers to increase 2.4 percentage points from 2011 to 2014 to 10.3 percent.