In this podcast Sara drills down on what transparency means for advisors and their clients.
Blog
Southwest Will Pay for Its Failures, but will Broker-Dealers?
While Southwest faces consequences for their actions will broker dealers share the same fate by failing to comply with Reg BI?
Fiduciary Care is How We Would Treat Our Mother
Too many new rules undermine the principles – Based fiduciary standard; here is how Scott MacKillop says we should think about fiduciary
The Institute Comments on the Proposal Regarding “Outsourcing by Investment Advisors”
Read the comments made by The Institute
Real Fiduciary Advisors Year-End Meeting
The Institute was joined by Ron Rhoades, Phyllis Borzi, Eileen Stevens, and James Tierney for a discussion of “fiduciary” in both 2022 and 2023.
Keeping the Republic… and the Fiduciary Standard
It is up to advisors to uphold the fiduciary standard keep each other to it, as there is little the SEC can do to force it upon them.