Advising in an intimate relationship of two differs markedly from offering incidental advice in a sales relationship of three. This is what the SEC needs to know to close the gap and create a standard retail investors would reasonably expect.
Meet Gail
Gail from Maryland is an accomplished professional with a BS in engineering and finance and an MBA. She also had a terrible experience with a broker who Gail says betrayed her. Meet Gail. Hear her story. Note her courage to come forward.
“Raise Your Voice” Campaign
Adviser Groups to RIAs: Show Your Independence. Explain to the SEC How You’re Different from Brokers
Institute Announces New Appointments
The Institute for the Fiduciary Standard today announced five new appointments. The appointments come as fiduciary duties remain front and center in securities regulation review at the SEC and in the marketplace.
Institute leaders meet with SEC Chairman Jay Clayton June 19, 2018
Institute leaders meet with SEC Chairman Jay Clayton June 19, 2018
5-Part Test Left Plan Sponsors “Holding the Bag”
For eight years Phyllis Borzi worked hard to make the fiduciary obligation consistent among service providers to the nation’s corporate retirement plans. When she retired last year, she looked forward to beginning to cross off those many deferred wishes from her bucket list. She has. But she hasn’t left the team.
