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Page 47 of ALI-ABA Business Law Course Materials Journal Vol. 18, Issue 4 [page]

1994 ALI-ABA Business Law Course Materials Journal  
The advice is rendered by legal counsel who is experi- enced in dealing with the legal issues raised by social in- vesting policies; and ii.  ...  The same legal advice relied upon by Board members in adopting a social investing policy can also be relied upon by Board members who vote against the policy in shield- ing them from co-fiduciary liability  ... 

Hot Tips Turned Flops: Liability for Unsuitable Investment Advice An Integrated Approach

Hanns A. Abele, Georg Kodek, Guido K Schaefer
2013 Social Science Research Network  
This paper develops a new analytical framework for assessing losses from unsuitable investment advice, integrating both legal and economic aspects.  ...  These include negligence in advice, causation as examined by the but-for-test, and the loss caused by the unsuitable advice.  ...  in this paper focuses on losses from unsuitable investment advice.  ... 
doi:10.2139/ssrn.2370402 fatcat:kuoonkbvgfeild37c3kn3gw33m

Independent Investment Advice under MiFID II

Martin Hobza
2017 Social Science Research Network  
Within the paper the author points out several problematic issues that might lower the legal certainty level of the investment firms providing independent investment advice in the future.  ...  The paper deals with independent investment advice institute under MiFID II.  ...  advice. 30 CONCLUSION: SELECTED PROBLEMATIC ASPECTS OF INDEPENDENT INVESTMENT ADVICE A relatively high level of multivalence, which could result in the reduction of legal certainty of the addressees  ... 
doi:10.2139/ssrn.2986876 fatcat:i3g54ysmf5hxla27inb4tk2eom

Web-service-agents-based family wealth management system

S GAO, H WANG, Y WANG, W SHEN, S YEUNG
2005 Expert systems with applications  
However, current trend of developing such advisory systems is mainly focusing on financial or investment side.  ...  In this paper, a novel architecture of Web-service-agents-based FWM systems has been proposed.  ...  Wong, an Assistant Professor of Department of Economics & Finance, City University of Hong Kong, for their professional advices and supports on this research.  ... 
doi:10.1016/j.eswa.2005.01.017 fatcat:3aup7xonrzfzbmo5bl5ckb5tqu

Page 33 of Massachusetts Law Review Vol. 21, Issue 3 [page]

1936 Massachusetts Law Review  
‘‘A bank that furnished ‘legal information or legal advice with respect to investments, taxation, stocks, bond, notes or other securities or property’ transcends in some par- ticulars the limits permissible  ...  The giving of advice as to investments in stocks, bonds and other securities, in real or personal property, and in making tax returns falls within the same eategory .  ... 

The Market for Financial Advisers [chapter]

John A. Turner, Dana M. Muir
2013 The Market for Retirement Financial Advice  
This gives rise to legal issues over the line between investment advice and investment education (Muir, 2002) .  ...  Conflicts of interest The primary legal issues regarding investment advisers are grounded in identification of the conflicts of interest that may exist in the provision of investment advice and how best  ... 
doi:10.1093/acprof:oso/9780199683772.003.0002 fatcat:6dgwn4z5nfdexjdsl22yv2q74y

Page 298 of Kansas Bar Association. The Journal of the Kansas Bar Association Vol. 23, Issue 3 [page]

1955 Kansas Bar Association. The Journal of the Kansas Bar Association  
“How to Invest Trust Funds” is a sub- ject not strictly legal in nature but the book does contain advice on “towing the line” to both counsel and fiduciary.  ...  In addition to such advice, the book contains a wealth of practical suggestions about how and what to invest, how to ascertain reliable information about and bad forms of securities, how to allocate a  ... 

Page 298 of Kansas Bar Association. The Journal of the Kansas Bar Association Vol. 23, Issue 3 [page]

1955 Kansas Bar Association. The Journal of the Kansas Bar Association  
“How to Invest Trust Funds” is a sub- ject not strictly legal in nature but the book does contain advice on “towing the line” to both counsel and fiduciary.  ...  In addition to such advice, the book contains a wealth of practical suggestions about how and what to invest, how to ascertain reliable information about and bad forms of securities, how to allocate a  ... 

Financial Advice and Stock Market Participation

Dimitris Georgarakos, Roman Inderst
2011 Social Science Research Network  
We introduce professional financial advice in households' choice to hold risky financial assets.  ...  Instead, for households with higher financial capability, only the perception of legal protection in financial markets matters for stock market participation.  ...  When the investor optimally chooses to rely on advice, provided that he invests in risky assets, then inspection of the respective utility U * in ሺ4ሻ reveals that trust in advice and perceived legal protection  ... 
doi:10.2139/ssrn.1641302 fatcat:zagir3gn7zgdfetfnbxflkubcq

Advice and Monitoring in Venture Finance

Douglas J. Cumming, Sofia A. Johan
2005 Social Science Research Network  
Finally, the data indicate a country's legality index is closely connected with the propensity for conflicts between entrepreneurs and their investors.  ...  thanks to the venture capital funds for providing the data, and to the seminar participants at Abstract This paper studies the advising and monitoring activities of 14 European venture capitalists (VCs) in  ...  However, VCs report a greater number of hours for investments in countries with lower legality indices.  ... 
doi:10.2139/ssrn.642122 fatcat:qrfkhslpjne35fzje6c7hvz3ai

Legal regulation of artificial intelligence in the financial services market: a comparative analysis

Sushkova Olga Viktorovna, Minbaleev Aleksey Vladimirovich
2021 SHS Web of Conferences  
The results of the work were the justification for the need to use robotic consultants in the field of investment activities to provide consumers with access to financial services markets.  ...  The study aims to conduct a comparative analysis of the legal regulation of the use of artificial intelligence in the financial services market.  ...  Thus, the legal gap in the definition and implementation of financial advice provided in digital financial markets should be defined as "the difference between the number of people who currently seek advice  ... 
doi:10.1051/shsconf/202111804007 doaj:927d5a01e4f347f0804e0b48030b9536 fatcat:wythcjzhxjcjpggedl7d54paqu

IMPACT OF CUTS TO LEGAL AID - COMPARATIVE VIEW AND ECONOMIC PROSPECTS

Barbara Preložnjak
2017 InterEULawEast journal for the international and european law economics and market integrations  
In this paper, author lays out the debate over the economic justification of legal aid system in an era of limited public resources and argues that legal services reach further than the clients served  ...  Legal aid system creates an opportunity for equal access to legal services especially for low-income citizens.  ...  Advice UK study estimated the social return on investment for cases of debt advice and housing advice as over 10 € (9 £) for every 1,1 € (1 £) invested. 163 In 2014 study of the impact of Citizens Advice  ... 
doi:10.22598/iele.2017.4.2.3 fatcat:w5rzkaqjsfdllgt7yd7rsgue4a

EU legal and regulatory developments: Safeguarding of client assets: CESR's technical advice in relation to Directive 2004/39/EC on Markets in Financial Instruments (MIFID)

Clifford Chance
2005 Derivatives Use Trading & Regulation  
may not be able to give legal advice, and may be liable for any errors in such a summary (the inclusion of the word 'general' does not really assist).  ...  There is also a risk that this could be construed as giving investment advice.  ... 
doi:10.1057/palgrave.dutr.1840007 fatcat:lhtglzyw4fb2holtd6oi3hypvu

Page 559 of The CPA Journal Vol. 23, Issue 9 [page]

1953 The CPA Journal  
Legal Fees as Non-Business Expenses Investment Advice. In the less com- plex era of the previous generation at the bar, lawyers customarily gave their clients advice as to investments.  ...  Deductibility of Legal and Tax Advice Fees keeping his job, his legal fees are de- ductible as a business expense.!?  ... 

Page 16 of American Bankers Association. ABA Banking Journal Vol. 28, Issue 10 [page]

1936 American Bankers Association. ABA Banking Journal  
Lnvest- ment Advisory Service in furnishing them with constructive advice on their investments. Inquiry Invited FRANCIS I. pp PONT & CO.  ...  Our long familiarity with the legal investment field, and our extensive Analytical Department equip us to render a valuable service to trust Investment Officers in connection with the purchase and sale  ... 
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