Regulators treated brokerage sales and fiduciary advice differently for years, stressing the harms and risks of conflicts of interest. Avoiding conflicts, if at all possible, was the norm. That was yesterday.
Institute Initiatives
Actions and programs of the Institute. Visit the Institute Initiatives archive to view initiatives prior to 2018.
Personal Financial Planning Program Webinars
A note from Knut A. Rostad In September 2018, the Institute awarded the Frankel Fiduciary Prize to Harold Evensky at Texas Tech in Lubbock. While on campus I spoke before several classes and saw first hand the interest of students in the subject of fiduciary duties. Since then, in collaboration with two Personal Financial Planning […]
John H. Langbein Wins Frankel Fiduciary Prize
The Institute for the Fiduciary Standard today announced that the 2019 Frankel Fiduciary Prize honoree is John H. Langbein.
Differentiation for RIAs in a Reg BI World
Reg BI is now a reality. How do independent real fiduciary advisers effectively differentiate what they do from what the brokerage industry says?
Institute commends Massachusetts disclosure on fees and services as “Straight Talk”
The proposed Massachusetts Adviser Straight Talk Disclosure is a simple, direct and commonsense approach to informing adviser clients of key information. It can increase investor comprehension of fees and services.
The EU leapfrogs the US on investor protection
By Knut A. Rostad and Darren M. Fogarty
MiFID II’s standard raises the transparency bar well above the U.S. SEC’s proposed Regulation BI and Form CRS.
