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Roman Jordans Received (in revised form): 19th August, 2002 E-mail: roman.jordans@web.de Roman Jordans earned an LLM from Victoria University in Wellington, New Zealand in 2002. As part of his LLM, he was an intern at the New Zealand Securities Commission, where his main task was to compile a report about the approach of several jurisdictions to the regulation of investment advisers, as New Zealand is considering reforms to its existing law. and conï¬icts of interest for investment advisers, particularly concerning remuneration they may receive from eg fund companies. INTRODUCTION TO THE PROBLEM Investment advisers act as intermediaries between issuers of securities and investors. They perform important functions in advising the public on investment and in marketing for the raising of capital. An investment adviser acting in the interests of investor clients is expected to advise on investment in suitable products and warn investors against investing in unsuitable products. The important functions of investment advisers for economies illustrate that there is a need for regulation of investment advisers. This is particularly true if one keeps in mind that clients usually trust recommendations made by their adviser. Therefore, the question of how investment advisers should be regulated is not only
Journal of Financial Regulation and Compliance – Emerald Publishing
Published: Jun 1, 2003
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