The Institute for the Fiduciary Standard

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Fiduciary September 2023 Program Videos

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September 13: 3 – 4 PM ET “The Advice Only Compensation Model: Consumer Experiences with Fixed, Flat or Hourly Fees for Advice”

Speakers: Three clients of fixed, flat or hourly fee-only advisors . Moderator: Brian Thorp

September 18: 3:30 – 4:30 PM ET “Massachusetts highest court ruling against Robinhood and for state’s fiduciary rule shocked the investment world. What’s it mean for investors, in MA, elsewhere?”

Speakers: Benjamin Edwards, James Tierney, Knut Rostad

September 19: 3 – 4 PM ET “The DOL Fiduciary / Conflict of Interest Rule Expected to Come”

Speakers: Phyllis Borzi, Chris Tobe, Knut Rostad

September 20: 3 – 4 PM ET “Financial Advice: Too Much Sales? Too Much Fiduciary?”

Speakers: Clark Blackman, Cheryl Holland, James Lee …. Moderator: Scott MacKillop

September 21: 3-4PM ET “The Fee-only compensation debate continues between AUM and fixed, flat, hourly fees”

Moderator: Jeff Benjamin … Speakers: Carolyn McClanahan, Clark Blackman

September 27: 3-4PM ET “SEC Proposal on ‘Conflicts from Predictive Data Analytics”

Speakers: Knut Rostad, Professor Ben Edwards, Professor James Tierney, Attorney Rich Chen

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