The “conflicts virus” shares much in common with the coronavirus that embattles our country.
Blog
SEC, CFP Board Accused Of Blurring Lines Between Advisors And Brokers As Board Reacts
The Institute contends in a new whitepaper that SEC and CFP Board rules will sweep away key principles of the Advisers Act.
Institute Paper: SEC, CFP Board Standards Abandon Advisers Act Principle that Treats Sales and Advice Differently
Regulators treated brokerage sales and fiduciary advice differently for years, stressing the harms and risks of conflicts of interest. Avoiding conflicts, if at all possible, was the norm. That was yesterday.
WealthManagement.com: Coronavirus Puts a Premium on Honest and Plain Talk from Advisors
Advisors who communicate quickly, openly and honestly … will come out in a stronger position.
Jay Clayton: Reg BI Still Coming June 30th
SEC staff to issue two “Risk Alerts” for further guidance.
The Virus We’re Not Containing
Conflicts of interest are a threat, but some regulators don’t seem to see the need to restrain them.
