Luis Aguilar, Frankel Prize honoree, praised for defining “What fiduciary means.” Jason Furman, Harvard professor, set out “Why fiduciary matters.”
RIA Leaders 2021: What’s wrong with RIA rankings
Knut joins members of the RIA community in pointing out the confusion in RIA rankings and which firms are fee-only and/or fiduciaries.
The Case to Fix Form CRS Disclosure
Testing reveals CRS forms of Large BDs obscure or omit key facts on core roles/purposes of broker-dealers. Large fee-only RIAs downplay fiduciary status, 5 of 12 omit mentioning their highest legal standard
Fiduciary September: Scholars and Experts Discuss Fiduciary Opportunities, the ‘New SEC’ and 2021-2025
The Fiduciary September 2021 program features six programs with nineteen experts, including Tamar Frankel, Luis Aguilar, Phyllis Borzi, Kara Stein, and others.
Barbara Roper Gets Key SEC Post
SEC Chairman Gary Gensler has appointed Barbara Roper, Director of Investor Protection at CFA, as his senior advisor.
Say Goodbye to the 1% Investment-Adviser Fee?
Innovative fee models are challenging the 1% assets-under-management fee that has traditionally dominated the investment advisory world.
