(The full news release can be downloaded in .PDF form here)
Sept 30 finale: Jason Furman, Obama’s Council of Economic Advisors Chair leads; Former Commissioner Luis Aguilar honored with Frankel Fiduciary Prize
Programs include: The New SEC, disclosure standards, CRS forms, investor understanding of fees, fiduciary and ESG and opposing interests of industry / professionalism
Fiduciary September 2021 Program Schedule – – (Register Here!)
September 1: Fiduciary September and Trust in 2021. Knut A Rostad, Advisor Perspectives
September 9: 1:00 – 2:00 PM ET. “The New SEC, 2021”
Speakers: Ron A Rhoades, Christine Lazaro, Knut A Rostad [Registration Link]
September 20: 11:00 – 12:00 PM ET. “Investor Understanding of Fees” SSGA research underscores that retail investors admit they do not know what they pay for their services.
Speakers: Brie Williams, Aron Szapiro, and Knut Rostad [Registration link]
September 22: 3:00 – 4:00 PM. “Testing CRS, A Review of 29 Broker-dealer Forms” Fresh research from the Institute examines the broker-dealer and investment adviser CRS disclosures.
Speakers: Deborah Bosley, Knut A Rostad [Registration Link]
September 23: 3:00 – 4:00 PM ET. “Reconciling Fiduciary Duty and Social Conscience” A discussion of Robert Sitkoff’s 2020 paper as the SEC considers mandatory ESG disclosure.
Speakers: Robert Sitkoff, Ron A Rhoades, Chris Fidler, Skip Schweiss (moderator) [Registration link]
September 27: 11:00 – 12:00 PM ET.“Our profession’s interests are not aligned with industry concerns” Dick Wagner’s argument in Chapter 6 of Financial Planning 3.0 continues to vex the evolving financial planning profession.
Speakers: Dave Yeske, Cheryl Holland and Evan Simonoff (moderator) [Registration link]
September 30: 4:00 – 5:30 PM ET. [Registration link]
4:00 – 4:50 Opening: “The state of fiduciary advice 12 years after the Obama Administration call for brokers-dealers to be held to a fiduciary standard; Award of Frankel Fiduciary Prize to Luis A. Aguilar”
Remarks by Jason Furman and Knut Rostad and panel discussion with Phyllis Borzi, Harold Evensky, and Corey Then
4:50 – 5:30 Closing: “Award of Frankel Fiduciary Prize to Luis A. Aguilar”
Remarks by Allison Herren Lee, Kara Stein, John Coffee, Tamar Frankel, and Luis Aguilar.
Fiduciary September 2021 Speakers
Luis A. Aguilar, SEC Commissioner, Securities & Exchange Commission, 2008-2015
Phyllis Borzi, Assistant Secretary, EBSA, Department of Labor, 2009-2017
Deborah Bosley, The Plain Language Group
John C. Coffee, Professor of Law, Columbia Law School
Harold Evensky, Founder, Evensky & Katz / Foldes
Chris Fidler, Senior Direct of Product Management, CFA Institute
Tamar Frankel, Professor of Law, Emerita, Boston University School of Law
Jason Furman, Professor, Harvard Kennedy School
Cheryl Holland, Owner, Abacus Financial Planning
Christine Lazaro, Professor, St. John’s University School of Law
Allison Herren Lee, SEC Commissioner, Securities & Exchange Commission, 2019-Present
Ron A. Rhoades, Associate Professor of Finance, Western Kentucky University
Skip Schweiss, Ambassador for Fiduciary Advice and Financial Planning
Evan Simonoff, Editor-in-Chief, Financial Advisor Magazine
Robert Sitkoff, Austin Wakeman Scott, John L. GrayProfessor of Law, Harvard Law School
Kara Stein, SEC Commissioner,2013-2019
Aron Szapiro, Head of Retirement Studies and Public Policy, Morningstar
Corey Then, General Counsel, Moneta Group
Brie P. Williams, Vice President, SPDR Exchange Traded Funds
Dave Yeske, Managing Director, Yeske Buie
About the Institute for the Fiduciary Standard
The Institute for the Fiduciary Standard is a non-profit formed in 2011 to provide research, education and advocacy on the vital role of the fiduciary standard for investors and the capital markets. For more information, visit www.thefiduciaryinstitute.org.
(The full news release can be downloaded in .PDF form here)
