- How to Write an Investment Policy Statement,
by Jack Gardner (Marketplace Books, 2004)
- Investment Policy: Winning the Losers Game, by Charles Ellis (McGraw-Hill Trade, 2002)
- The Management of Investment Decisions, Donald B. Trone, William R. Albright, and Philip Taylor (McGraw-Hill Trade, 1995)
- Prudent Investment Practices: A Handbook for Investment Fiduciaries, (Foundation for Fiduciary Studies, 438 Division Street, 1st Floor, Sewickley, Pennsylvania 15143; 412-741-8140. For information, contact Rich Lynch: firstname.lastname@example.org)
- Understanding ERISA: A Compact Guide to the Landmark Act, by Ken Ziesenheim (Marketplace Books, 2004)
Access complimentary resources from Cambridge Investments to help navigate the fiduciary rule changes.
If you’re thinking of changing broker-dealers, you owe it to yourself to read this article that covers all major aspects of the transition process.
This White Paper outlines the immediate actions firms can take to correct outdated and costly supervision procedures.
Sep 27, 2016
Some broker-dealers have already decided to exit certain lines of business and are sizing up how the rule will impact their IT and compliance budgets....
Sep 20, 2016
This webcast will review the key aspects of the amendments and the steps that funds and intermediaries can take in order to comply with the...
Sep 13, 2016
Nationwide is providing a deeper look into the rule’s implications and a discussion of decisions firms will need to make in order to comply.