Carolyn McClanahan’s transition from being a physician to the financial planning industry. She calls for a better duty of care to the client.
Institute and Industry Leaders
Investor Advocates Call for Revamped Form CRS
Investor protection advocates want the Securities and Exchange Commission to revisit and revise its Form CRS.
Fiduciary Backers Seek ‘highest legal standard’ in Form CRS Disclosures
The Institute proposed a redesigned Form CRS, which provides a side-by-side comparison of advisers and brokers.
Critics, Former Regulators Press SEC To Add Fee Disclosure To Form CRS Redo
A number of former regulators and current policy experts asked the Securities and Exchange Commission today to revise Form CRS.
Investigative Report of Northwestern Mutual by Financial Planning Wins Award
Tobias Salinger’s 2020 article “A Question of Conflict” won a SABEW award in the Personal Finance category
CFA Institute Offers Strong Critique of Reg BI
CFA Institute offers candid criticism of Reg BI, Form CRS, and how the SEC still has not defined “best interest”
