Investment Advisers: What You Need to Know

The Trinidad and Tobago Securities and Exchange Commission (TTSEC) often receives questions about investment advisers—who they are and how to go about choosing one. This document answers some of the typical questions we receive from investors. Q:  What is an investment adviser? A:  An investment adviser is an individual that is in the business of and receives compensation for, giving advice to clients on investing in securities such as stocks, bonds or mutual funds. According to the Securities Act, 2012 – “Investment […]