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You are here: Home / Archives for Knut Rostad

Knut Rostad

Hightower Advisors: The New Face of Fiduciary?

By Knut Rostad on September 24, 2012

By Knut Rostad Avoiding or managing conflicts of interest is, arguably, the center piece of a fiduciary’s responsibility and the glue in an advisor/client relationship of trust and confidence. At least this is what one might surmise from the investment professionals who advised Congress as it crafted the Advisers Act of 1940, or the Supreme […]

A Discussion of Some of the Differences Between the Regulatory Requirements of Brokers and RIAs

By Knut Rostad on April 11, 2012

A discussion of the differences in the standards of investment advisers and brokers is essential amidst the calls for “harmonizing” the two. This paper seeks to highlight how these two standards differ in terms of the legal requirements and duties imposed on advisers and brokers.

Rulemaking Re: Brokers, Dealer and Investment Advisers

By Knut Rostad on April 9, 2012

Securities and Exchange Commission Seal

SIFMA’s proposal departs from the fiduciary standard as set forth under the Advisers Act of 1940 and, if adopted, would be particularly harmful to retail investors.

Goldman Sachs Veteran’s Parting Shot:

By Knut Rostad on March 15, 2012

“We Stopped Putting Our Clients First” Greg Smith, a 12-year veteran executive of Goldman Sachs, set Wall Street buzzing this morning with his explanation on the opinion pages of The New York Times of why he had just resigned. Smith’s chronicle of how the firm changed during his tenure underscores why Wall Street needs to […]

Who Can Investors Trust in the US?

By Knut Rostad on February 18, 2012

Wall Street

February 8, 2012 – The Wall Street Journal Who Can Investors Trust in the US? What appears to be about to happen is that US regulators are going to abandon a 70-year-old standard (or a 750-year-old standard, depending on how you count) that made fiduciaries responsible for their trustworthy behaviour

Knut Rostad’s Letter to New York Times’ David F Swensen’s Op-ed

By Knut Rostad on November 3, 2011

Knut A. Rostad

August 26, 2011 – Institute Letter to The New York Times supports David F. Swensen’s Op-ed.

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Fiduciary Doings

Tamar Frankel and Phyllis Borzi

 

The Institute organized a meeting to discuss common interests on Reg BI, the states and advocacy on January 16 in Washington. 22 leaders from nine advisor and consumer advocacy organizations attended.

Here, Phyllis Borzi (left) and Tamar Frankel, Institute Board of Advisor members, are seen readying to depart an Institute dinner, the evening before, where they led discussions.

 

Clark Blackman (left) and Chris Cannon, Real Fiduciary Practices Board members

 

Fiduciary Institute colors fly at CFA Institute conference. Clark Blackman (left) and Chris Cannon, Real Fiduciary Practices Board members, wear their 'Fiduciaries Rock' hats at the CFA event in Fort Lauderdale.

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