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 Shareholders
Knut writes about Vanguard culture as one of Jack Bogle’s lasting legacies
Advice-Only Fees Gain Traction as Advisors Opt Out of Managing Client Portfolios
Industry Leaders remark on recent popularity of separating fee-only advising and investment management. Noting the advantages this change can have.
