Industry commentator, Bob Veres, argues that fiduciary advocates should emphasize the “catastrophic failures” of the brokerage business model.
Bob Veres Review: IA Magazine “Luminaries”: Potential advertisers or “luminaries”?
Veres won’t review the 93 firms or 105 individual “finalists” on IA’s list. He DOES list those not nominated, including “Joel Bruckenstein, Angie Herbers, Knut Rostad, Stephanie Bogan”, (and many others)
Fiduciary September 2022 Program
Luis Aguilar, (left) Advisor to the Institute, will speak Sept 22 on the panel for The 2022 Frankel Prize honoree, Arthur Laby.
Sharp exchanges at hearing illuminate debate on SEC’s oversight of ESG
Congress begins to discuss ESG and whether regulatory action should begin, but there is still contention within the house
Attorney August Iorio (I) and Law Professor Ben Edwards Spoke on Reg BI
Two years after Regulation Best Interest critics speak out and urge more change addressing conflicts of interest.
SEC Takes First Substantive Reg BI Enforcement Action
The SEC has issued a Regulation Best Interest ruling against a brokerage and five registered representatives
