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You are here: Home / Archives for Knut's Views

Knut's Views

Mutual Fund Merry-Go-Round

By Knut Rostad on October 31, 2011

August 13, 2011 – David F. Swensen, Chief Investment Officer of Yale University calls for fiduciary duty for brokers in an Op-Ed in The New York Times, August 13, 2011, “The Mutual Fund Merry-Go Round.” He writes: “the S.E.C. should hold the mutual fund industry to a “fiduciary standard,” one that puts clients’ interests first. […]

Fiduciary Forum 2011

By Knut Rostad on October 20, 2011

An Introduction to the 2011 Fiduciary Forum:    SEC Commissioner Troy Paredes wrote in 2003 (as an Associate Professor of Law) about mandatory disclosure and whether market participants are subject to information overload. *  Noting that mandatory disclosure may be “the most hotly contested debate in the history of securities regulation,” Paredes concluded that to […]

Comments on Definition of Fiduciary Proposed Rule

By Knut Rostad on April 12, 2011

Knut A. Rostad

Disclosures and client consent are insufficient – by themselves – to satisfy the fiduciary standard.

The Specific Fiduciary Duties of Investment Advisers

By The Institute on April 12, 2011

US Department of Labor (wikimedia.com)

Contrary to what some of the comments received by the DOL/EBSA suggest, fiduciary duties are neither too “ill-defined” nor “vague” to be applied to investment advisory activities.

Proposed Rule, Definition of the Term “Fiduciary”

By The Institute on April 11, 2011

US Department of Labor (wikimedia.com)

Certain comments made by Kenneth E. Bentsen, Jr. of SIFMA before the U.S. Department of Labor hearing on the proposed definition of fiduciary regulation were either misleading and/or not relevant to the issues under consideration.

Testimony of Arthur Levitt, Jr. Senate Banking Committee

By The Institute on October 15, 2008

Turmoil in the U.S. Credit Markets: The Genesis of the Current Economic Crisis

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Fiduciary Doings

Tamar Frankel and Phyllis Borzi

 

The Institute organized a meeting to discuss common interests on Reg BI, the states and advocacy on January 16 in Washington. 22 leaders from nine advisor and consumer advocacy organizations attended.

Here, Phyllis Borzi (left) and Tamar Frankel, Institute Board of Advisor members, are seen readying to depart an Institute dinner, the evening before, where they led discussions.

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."

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