The Investment Adviser Association (IAA) asked a number of industry professionals, regulators, and other experts to share their views on the value the Investment Advisers Act has brought.
Blog
Fiduciary September 2015: A Historic Time for Fiduciary Advice
Today marks the beginning of Fiduciary September 2015, the month declared four years ago by the Institute for the Fiduciary Standard as a time to commemorate why fiduciary duties in financial advice matter so much to the markets and investors.
Institute for the Fiduciary Standard/WealthManagement.com September 2015 DOL Conflict of Interest Survey
Institute for the Fiduciary Standard/WealthManagement.com September 2015 DOL Conflict of Interest Survey
Time for Wall Street to Show Investors Their Trust Matters
Industry comments on the DOL conflict of interest rule are in and offer a treasure trove of industry thinking. One such gem may be industry views on the continued abysmal levels of investor trust.
What Fiduciary Advocates Can Learn From SCOTUS Ruling on Gay Marriage
Same-sex marriage’s journey from minority status to the law of the land offers important lessons about gaining broad-based public support that fiduciary advocates can gain from.
Statement of Knut A. Rostad On “Best Interest” and SIFMA’s “Proposed Best Interest of the Customer Standard For Broker-Dealers”
The “Best Interest” standard is central to the regulation of advisers and brokers. It’s key to the DOL COI proposed rule and recent SEC statements and decisions. Now, a Securities Industry Financial and Markets Association (SIFMA) statement discusses conflicts of interest, disclosure and fee transparency. Despite its obvious importance, federal policy makers and regulators still have not affirmed or promulgated a view of the “Best Interest” standard as drawn from the Advisers Act and common law.
