Investment Professional
/ɪn'vɛstmənt prə'fəʃənl/
Definitions
- (n.) An individual engaged professionally in managing, advising on, or directing investments, often subject to regulatory standards.
The investment professional advised the client on compliant portfolio diversification.
Forms
- investment professional
- investment professionals
Related terms
See also
Commentary
In legal contexts, the term often implies adherence to regulatory and fiduciary obligations under securities laws and investment advisor statutes.
This glossary is for general informational and educational purposes only. Definitions are jurisdiction-agnostic but reflect terminology and concepts primarily drawn from English and American legal traditions. Nothing herein constitutes legal advice or creates a lawyer-client relationship. Users should consult qualified counsel for advice on specific matters or jurisdictions.