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The Institute for the Fiduciary Standard

A resource site for investors, brokers, academics and the media.


Building a fiduciary culture of honesty, integrity, and expertise.

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Knut Rostad

Institute for the Fiduciary Standard/WealthManagement.com September 2015 DOL Conflict of Interest Survey

By Knut Rostad on September 1, 2015

WealthManagmentLogo

Institute for the Fiduciary Standard/WealthManagement.com September 2015 DOL Conflict of Interest Survey

Time for Wall Street to Show Investors Their Trust Matters

By Knut Rostad on August 5, 2015

Industry comments on the DOL conflict of interest rule are in and offer a treasure trove of industry thinking. One such gem may be industry views on the continued abysmal levels of investor trust.

What Fiduciary Advocates Can Learn From SCOTUS Ruling on Gay Marriage

By Knut Rostad on June 30, 2015

Same-sex marriage’s journey from minority status to the law of the land offers important lessons about gaining broad-based public support that fiduciary advocates can gain from.

Statement of Knut A. Rostad On “Best Interest” and SIFMA’s “Proposed Best Interest of the Customer Standard For Broker-Dealers”

By Knut Rostad on June 9, 2015

The “Best Interest” standard is central to the regulation of advisers and brokers. It’s key to the DOL COI proposed rule and recent SEC statements and decisions. Now, a Securities Industry Financial and Markets Association (SIFMA) statement discusses conflicts of interest, disclosure and fee transparency. Despite its obvious importance, federal policy makers and regulators still have not affirmed or promulgated a view of the “Best Interest” standard as drawn from the Advisers Act and common law.

Chris Cannon at the CFA Institute Event in Orlando

By Knut Rostad on May 25, 2015

Institute Best Practices Board member, Chris Cannon, right, greets CFA Institute CEO, Paul Smith, at a recent CFA Institute event in Orlando.

Conflicts of Interest and the Duty of Loyalty at the Securities & Exchange Commission

By Knut Rostad on April 6, 2015

SEC Chair Mary Jo White’s recent statement that the SEC should proceed with rule-making on a uniform fiduciary standard focuses attention on what such a rule may entail.

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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

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