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
Leadership and Character on Memorial Day
Memorial Day honors those who died for our country. Remembering their service is an American tradition. Noting how character development drives officer training should become a tradition in finance.
Compliance Week: Conviction, moral fortitude define Lifetime Achievement winner Tamar Frankel
Tamar Frankel’s two palpable features, ‘One is a deep well of kindness behind her eyes, the other a formidable air of intelligence.’
The SEC’s Misguided Concept of Fiduciary
Knut and Professor Frankel co-authored this piece in advisor perspectives
What Would Jack Bogle Do? Ask Vanguard’s Clients
Knut writes about Vanguard culture as one of Jack Bogle’s lasting legacies
