Regulators treated brokerage sales and fiduciary advice differently for years, stressing the harms and risks of conflicts of interest. Avoiding conflicts, if at all possible, was the norm. That was yesterday.
Jay Clayton: Reg BI Still Coming June 30th
SEC staff to issue two “Risk Alerts” for further guidance.
WealthManagement.com: Coronavirus Puts a Premium on Honest and Plain Talk from Advisors
Advisors who communicate quickly, openly and honestly … will come out in a stronger position.
The Virus We’re Not Containing
Conflicts of interest are a threat, but some regulators don’t seem to see the need to restrain them.
Personal Financial Planning Program Webinars
A note from Knut A. Rostad In September 2018, the Institute awarded the Frankel Fiduciary Prize to Harold Evensky at Texas Tech in Lubbock. While on campus I spoke before several classes and saw first hand the interest of students in the subject of fiduciary duties. Since then, in collaboration with two Personal Financial Planning […]
Protected: Institute for the Fiduciary Standard Form CRS Draft
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