While Southwest faces consequences for their actions will broker dealers share the same fate by failing to comply with Reg BI?
Knut's Views
Keeping the Republic… and the Fiduciary Standard
It is up to advisors to uphold the fiduciary standard keep each other to it, as there is little the SEC can do to force it upon them.
Why RIAs Need To Preserve, Protect and Defend The Fiduciary Standard
The Fiduciary Standard is the bedrock of the RIA business model yet the fiduciary standard is at risk if there is no one to protect it.
Why I’m Optimistic about America
Article originally posted on Advisor Perspectives Tomorrow’s election will bring gloomy punditry about America. Whatever the results, some will deem Donald Trump the winner. I just returned from visits to Oslo and the Venice Biennale International, a contemporary art exhibition. The art was great – but the repeated questions about America were not. In Norway […]
What We Learned in Fiduciary September
Knut discusses emergent themes in 2022’s Fiduciary September, which emphasizes state and private sector leadership amid SEC failure.
Podcast Interview with PLI: Preserving the Highest Duty of Care
Knut is interviewed on the fiduciary standard, how the SEC interprets that standard in 2022, and challenges and opportunities ahead.