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You are here: Home / Archives for Fiduciary September

Fiduciary September

Watch: 2020 Frankel Fiduciary Prize Program

By The Institute on September 29, 2020

Tamar Frankel, Luis Aguilar, Phyllis Borzi, and Harold Evensky gave glowing endorsements of Ron Rhoades’ fiduciary career during the Frankel Fiduciary Prize Webinar.

SEC’s Reg BI Gives Sued Financial Companies A Legal Advantage, Profs Say

By The Institute on September 12, 2020

The SEC’s new Regulation Best Interest will give financial institutions a legal advantage when they’re sued by investors.

Until Reg BI enforcement starts, we’ll have to take brokers’ word it’s working

By The Institute on September 10, 2020

Or you can rely on state securities regulators to provide data about advice reform.

Ex-Obama DOL official Phyllis Borzi, the ‘Godmother’ of ERISA, Speaks on Current DOL Rule

By The Institute on September 4, 2020

Phyllis C. Borzi

The Trump administration is trying to wave a magic wand, and it’s going to work, but it may make matters worse for the pro-suitability lobby if Joe Biden becomes President

Four Distinguished Law Professors Discuss 2020 Financial Advice Landscape

By The Institute on September 3, 2020

justice

Four leading law professors shared their views on recent developments for financial advice in 2020.

Mourning the Passing of the 40 Act

By Knut Rostad on September 2, 2020

The 40 Act has been effectively repealed. But its passing has gone unnoticed. In the long shadow of the market crash and severe depression, the 40 Act was the equivalent of investors’ civil rights legislation.

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Institute & Industry Leaders

 

Chris Cannon, board member of the Institute's Real Fiduciary™ Practices and CFA Society Orlando, interviews Boston University Professor of Law Emerita, Tamar Frankel.

Frankel explains what led her to spend her career focusing on fiduciary law, what it means to be a fiduciary, and what conflicts of interest exist within the advisory space. She then offers her thoughts on what regulators should do to help eliminate these conflicts.

Carolyn McClanahan

 

"With the advent of 401(k)s and the decimation of pension plans to ensure financial security in old age, a fiduciary standard is more important than ever. The public needs to be confidant that advisors helping them plan for their retirement years always and only act in their best interest as a fiduciary. I'm happy to endorse organizations such as the Institute for the Fiduciary Standard that promote protections for those who need to secure their financial future."

- Carolyn McClanahan, Founder of Life Planning Partners

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