The Institute for the Fiduciary Standard

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Building a fiduciary culture of honesty, integrity, and expertise.

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Memo on the Proposed Code of Ethics and Standards of Conduct to CFP Board

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In a memo to CFP Board from the Institute, we comment on its new standards. The proposed standards move financial planners towards professionalism on a number of fronts. Two stand out. One, in a sharp departure from the current standards, all CFPs who render financial advice are held to fiduciary conduct. Two, in the proposed standards conflicts begin to be addressed.

ARQ Wealth Advisors, LLC

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ARQ Wealth Advisors offers offers comprehensive wealth management, investment management and financial planning.  ARQ Wealth will worm with clients remotely.

Daylian Cain NYU Presentation

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Yale business professor, Daylian Cain, is a prolific researcher on conflicts of interest. His notoriety in investment advice policy circles was further enhanced when the Obama administration cited his work in 2015, as it argued for the DOL Conflicts of Interest Rule.

Webinar on Best Practices Affirmation Program

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Hosted by Garrett Planning Network, July 20, 11 am CDT   Download the webinar presentation PDF here.   Sheryl Garrett, leader of the hourly financial planning movement, says Institute for the Fiduciary Standard program provides much-needed clarity to help investors know what to expect from a fiduciary advisor.                 […]

Dan Moisand

 

Dan Moisand is a nationally recognized fiduciary fee-only financial planner, an Institute Real Fiduciary™ Advisor and Chair-elect of the CFP Board.

The Institute has enshrined the ‘Moisand Rule’ on fiduciary practices. It is basic and is more important today than ever: “You have to avoid conflicts. If I avoid a conflict, I don’t worry about it.”

Watch the video of Moisand speaking here.

Bob Veres

 

Bob Veres is a long term observer of financial planning. His Newsletter, “Inside information” Is a staple of leading planners. In the May edition he writes about fiduciary and the Institute.

"But a much bigger point is that the fiduciary standard—as Knut Rostad of the Institute for the Fiduciary Standard has pointed out—has been determined by the Supreme Court (1963 ruling) to be at the very heart of the Investment Advisers Act of 1940. It is the foundation of what it means to be an RIA registered with the SEC instead of a tipster or a tout."

- Bob Veres, Parting Thoughts ... The SEC's Own Compliance Culture