Candid conversation with John Taft of SIFMA on conduct standards.
Blog
Fiduciary Advisors Are in Peril: How to Fight Back
Fiduciary advisors are in peril. The brokerage industry is smothering fiduciary advisors in a well-oiled Wall Street-Washington lobbying campaign.
Come Together
Published July 29th, 2014 By Bob Clark Back in June, Financial-Planning.com put a curious headline on a story: “NAPFA Faces Member Loss After Fee-Only Rule Change.” You may remember that the rule change in question ended NAPFA’s allowing its fee-only members to own up to 2% of commission-charging financial services businesses. Simply […]
It will take a profession to enhance standards
The Dodd-Frank law was enacted just four years ago in the backdrop of a crisis — a crisis some observers say came perilously close to the collapse of the financial system.
Raymond James, the New Borders Bookstore?
Originally published on ThinkAdvisor.com, May 27, 2014 By Knut A. Rostad Recent statements by two brokerage industry leaders suggest a new way for fiduciary advocates to reframe the fiduciary regulatory battle. Think “disruptive innovation.” First, SIFMA president Ken Bentsen, the voice of the brokerage industry in Washington, recently wrote an extraordinary column on fiduciary […]
Professional and Personal Financial Planning
By Jeffrey W. McClure, CFP® — An excellent paper on the origins, meaning and importance of professions, and the status of financial planning as a profession.
