Former SEC Commissioner Luis Aguilar spoke these words in 2010 when Dodd-Frank was under construction in Congress: “While the scope of service may vary between clients, the standards of loyalty and care in providing that service should not. You simply cannot be three-quarters of a fiduciary.”
How fiduciary advisors need to talk so investors (really) listen
A conversation on how fiduciary advisors ‘Need to talk so investors listen.’
When Are We Going to Get There?
In his weekend column, Jason Zweig surveys the landscape on fiduciary regulations and firm adherence. He finds it lacking.
Will CFP Board Make History?
What do investors want from advisors’ code of conduct? A survey conducted in 2016 by the CFA Institute offers an insight.
ARQ Wealth Advisors, LLC
ARQ Wealth Advisors offers offers comprehensive wealth management, investment management and financial planning. ARQ Wealth will worm with clients remotely.
Daylian Cain NYU Presentation
Yale business professor, Daylian Cain, is a prolific researcher on conflicts of interest. His notoriety in investment advice policy circles was further enhanced when the Obama administration cited his work in 2015, as it argued for the DOL Conflicts of Interest Rule.
