SEC and the Fiduciary Study: The Process
In January, the SEC released its fiduciary study under Dodd-Frank. We timeline how the issue of extending the fiduciary standard to all advice givers developed.
SEC and the Fiduciary Study: The Process, Part I
Why the fiduciary standard became such a hot topic for regulators at the SEC.
With Reform Bill, the Fiduciary Process Evolves
On the heels of the June 25 final wording for financial reform legislation, the Foundation for Fiduciary Studies (FFS), unveiled an "evolved" fiduciary process and a new president, Louis S. Harvey.
The Fiduciary Process Evolves
Foundation for Fiduciary Studies unveils evolved fiduciary process.
50 Top Women in Wealth Management for 2010
Selected by an advisory board of distinguished women involved in the wealth management business, the list of the 50 Top Women in Wealth Management...
Thirty for Thirty
We present for your consideration 30 individuals who over the past 30 years--the period in which Investment Advisor has been serving independent and independent-minded advisors--have...
Reform Debate on Fiduciary Standard for FAs Heats Up
Perhaps the most controversial aspect of the bill would require brokers, and any other financial professionals holding themselves out as advice-givers, to adhere to a fiduciary standard similar to that of registered investment advisors.
Clark at Large: These Guys Are Good
Did you ever get the haunting feeling that something was going too well? That's how I'm starting to feel about the reregulation of the advisory...
Fiduciary Committee Huddles with SEC
The Committee for the Fiduciary Standard, which includes WealthManagerWeb.com Editor in Chief Kate McBride, held face-to-face-meetings with two SEC Commissioners, Congressional staffers, and a Treasury...
Fiduciary to the Forefront
A committee calling for an authentic standard throws down the gauntlet