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The Institute for the Fiduciary Standard

A resource site for investors, brokers, academics and the media.


Building a fiduciary culture of honesty, integrity, and expertise.

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2014-2015 Best Practices News & Media Coverage

Best Practices Archive

Previous Versions:

  • September 2015
  • June 2015 Draft
  • January 2015 Draft

Briefing Recording

  • September 30: Fiduciary Best Practices Briefing – September 30, 2015

News

2015

  • September 2015 — Backgrounder: Best Practices Board, NAPFA, Council of Advisors, Hamburger Lead Best Practices Initiative
  • September 30, 2015 —  Biography of Panel Members, Honored Guests, and Presenters on September 30th
  • September 8,2015 — Fiduciary September 2015: Conference Call September 10th on Best Practices (News Release)
  • June 9, 2015 — Statement of Knut A. Rostad On “Best Interest” and SIFMA’s “Proposed Best Interest of the Customer Standard For Broker-Dealers” (Statement)
  • April 6, 2015 — Conflicts of Interest and the Duty of Loyalty at the Securities & Exchange Commission (White Paper)
  • February 17, 2015 — Institute for the Fiduciary Standard, NAPFA Hold Conference Call to Discuss Proposed Best Practices (Press Release)
  • January 29, 2015 — Statement from Tamar Frankel (Press Release)
  • January 2015 — Proposed Best Practices (White Paper)
  • January 29, 2015 — Institute Proposes Best Practices for Advisers and Brokers Seeking to Meet True Fiduciary Standard (Press Release)

2014

  • September 10, 2014 — Best Practices’ Move Forward With Council of Advisors, NAPFA Strategic Alliance, Brian Hamburger as General Counsel to the Best Practices Board. (Press Release)
  • September 10, 2014 — Key Principles for Fiduciary Best Practices and an Emerging Profession. here
  • May 13, 2014 — Fiduciary Institute to Craft Fiduciary Best Practices That Investors Want
    (press release)
  • May 13, 2014 — Institute Releases Whitepaper on Best Practices (White Paper)

Media Coverage

2015

  • Financial Advisor – December 2: Evensky, Others Offer One-Page Solution To Advisor Fiduciary Debate (Article)
  • Think Advisor – November 30: Rethinking Best Practices for Fiduciaries (Article)
  • Think Advisor – October 21: Why the Industry, and Consumers, Need a Best Practices for Financial Advisors
  • Think Advisor – June 29: Defining ‘Best Interest’ Standard in Fiduciary Debate a Head Scratcher
  • Think Advisor – April 3: SEC’s Ability to Deliver True Fiduciary Standard in Doubt: Report
  • New York City Comptroller – March 25: Comptroller Stringer Urges New State Disclosure Law to Protect Consumers
  • Investment News – March 25: New York City official wants to make brokers say: ‘I am not a fiduciary’
  • WealthManagement.com – March 18: Fiduciary Roundtable: Where Is the Industry Heading?
  • Financial Planning – March 10: Can IBD Advisors Be Fiduciaries?
  • BenefitsPro.com – March 3: A stand-in for the fiduciary standard?
  • Barron’s – March 2: How to Quiz Your Financial Advisor
  • ThinkAdvisor – March 4: The Case Against Fee Disclosure: Good Idea; Bad Timing
  • RiaBiz – February 24: As President Obama takes the gloves off, pro-broker groups throw up ‘sledgehammer’ response
  • Reuters – February 20: YOUR PRACTICE-Advisers tout ‘fiduciary’ label to stand out from crowd
  • FiduciaryNews – February 18: Exclusive Interview: Brian Hamburger Says Private Industry Converging on Fiduciary Solution Ahead of Regulators
  • ThinkAdvisor – February 18: The Media Is the Message, When the Subject Is Investor Protection
  • Huffington Post – February 9: How Can Investors Find Advisors They Can Trust? A New Road Map To Follow
  • ThinkAdvisor – February 4: The Institute’s Fiduciary Best Practices: What’s Missing?
  • Investment News – January 30: Institute for Fiduciary Standard draws SIFMA fire for best practices plan
  • Financial Planning – January 30: New Best Practices Aim to Codify Advisors’ Fiduciary Duty
  • Financial Advisor – January 30: Comments Sought On Fiduciary Best Practices Proposal
  • ThinkAdvisor – January 30: Side-Stepping SEC and DOL, 11 Fiduciary Best Practices for Advisors Are Proposed
  • BenefitsPro.com – January 29: Fiduciary group pushes to put clients first

2014

  • ThinkAdvisor – July 28: Come Together: Knut Rostad calls on the advisory industry to set fiduciary best practice standards
  • FAIR Canada – July 24: A Profession or Not a Profession?
  • ThinkAdvisor – May 27: Reality Bites: Busting the Myth of Financial Planning
  • ThinkAdvisor – May 15: Institute for Fiduciary Standard to Craft Best Practices
  • Investment News – May 13: Institute for the Fiduciary Standard launches best practices effort, eyes new certificate

Dan Moisand

 

Dan Moisand is a nationally recognized fiduciary fee-only financial planner, an Institute Real Fiduciary™ Advisor and Chair-elect of the CFP Board.

The Institute has enshrined the ‘Moisand Rule’ on fiduciary practices. It is basic and is more important today than ever: “You have to avoid conflicts. If I avoid a conflict, I don’t worry about it.”

Watch the video of Moisand speaking here.

Bob Veres

 

Bob Veres is a long term observer of financial planning. His Newsletter, “Inside information” Is a staple of leading planners. In the May edition he writes about fiduciary and the Institute.

"But a much bigger point is that the fiduciary standard—as Knut Rostad of the Institute for the Fiduciary Standard has pointed out—has been determined by the Supreme Court (1963 ruling) to be at the very heart of the Investment Advisers Act of 1940. It is the foundation of what it means to be an RIA registered with the SEC instead of a tipster or a tout."

- Bob Veres, Parting Thoughts ... The SEC's Own Compliance Culture

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