SEC’s Ability to Deliver True Fiduciary Standard in Doubt: Report
Institute for the Fiduciary Standard says the SEC believes "conflicts are routine and acceptable — not inherently inconsistent with providing objective advice.”
The Medium Is the Message, When the Subject Is Investor Protection
The Committee for the Fiduciary Standard suggests mainstream media have an important role in investor protection, but I wonder if the emphasis is misplaced.
Restoring Trust, One Client at a Time
What a person finds humorous can be quite revealing.
A Simple Solution: Let's Call an Advisor an Adviser
Over the past year or so, many advisor industry observers have become disillusioned about the SEC's chances of complying with its Dodd-Frank mandate to create a fiduciary standard for brokers that's “no less stringent” than the 1940 Act.
Side-Stepping SEC and DOL, 11 Fiduciary Best Practices for Advisors Are Proposed
Institute for the Fiduciary Standard's Knut Rostad says these practices can be used by advisors to counteract D.C. gridlock on fiduciary and “investor misperceptions.”
Knut Calls Out the Brokerage Industry on Fiduciary Standard
Knut Rostad makes the case why a fiduciary standard for all financial advisors is more important than ever today.
What's Next for the Fiduciary Standard?
While the industry awaits a decision by the SEC on whether it will move forward with a uniform fiduciary rule for brokers and advisors, fiduciary advocates will engage this month in a debate about the importance of the two fiduciary rulemakings being considered by the SEC and the DOL.
Industry Gears Up for Fiduciary September
Advisors are beginning to think that if regulators won't move forward on fiduciary rules, maybe the profession should, TD Ameritrade's Skip Schweiss tells ThinkAdvisor.
Come Together (for Fiduciary Best Practices)
Knut Rostad's thoughtful white paper calls on the advisory industry to set fiduciary best practice standards.
Advisory Industry Wants More Exams (and Will Pay for Them, Too)
On IAA's annual lobbying day, the industry has “a very unusual message" for Congress, TD Ameritrade's Skip Schweiss told ThinkAdvisor.