Who Should Regulate Investment Advisers?

Ben Charoenwong    Dr Ben Charoenwong, Dr Alan Kwan, Dr Tarik Umar
04 Dec 2017
Categories: Regulation, Market Integrity, Regulatory changes

Country or region: Asia Pacific (Overall)

We study the change in a jurisdiction of state and federal investment adviser regulators on investment adviser misconduct in the United States. Compared with advisers who did not experience the re-jurisdiction, we find evidence suggesting that misconduct increased after mid-sized investment advisers were required to switch from SEC to state ......

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