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You are here: Home / Archives for Research

Research

Professional and Personal Financial Planning

By The Institute on May 16, 2014

investing-ira-roth

By Jeffrey W. McClure, CFP® — An excellent paper on the origins, meaning and importance of professions, and the status of financial planning as a profession.

Fiduciary Institute to Craft Fiduciary Best Practices that Investors Want

By The Institute on May 13, 2014

The Institute for the Fiduciary Standard today announced the formation of a Best Practices Board to craft fiduciary best practices for investment and financial advisors.

Fiduciary Institute to Craft Fiduciary Best Practices that Investors Want

By The Institute on May 13, 2014

The Institute for the Fiduciary Standard today announced the formation of
a Best Practices Board to craft fiduciary best practices for investment and financial advisors.

Six Core Fiduciary Duties for Financial Advisors

By The Institute on September 9, 2013

The Six Core Fiduciary Duties embody the major elements of fiduciary responsibility under the Advisers Act of 1940.

SEC release offers little medicine to quell conflict-of-interest “virus’

By The Institute on June 11, 2013

Note: this op-ed, written by Institute for the Fiduciary Standard President Knut Rostad, is published on InvestmentNews.com.

Fiduciary Reference – Analysis of Investment Fiduciary Issues

By Knut Rostad on April 16, 2013

The SEC March 1 Release* assumptions about a possible uniform fiduciary standard and the duty of loyalty sharply restrict when fiduciary duties are applied. If these assumptions are adopted in rulemaking, fiduciary duties would effectively be removed for brokers and advisers giving investment advice to retail investors.

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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.

 

Clark Blackman (left) and Chris Cannon, Real Fiduciary Practices Board members

 

Fiduciary Institute colors fly at CFA Institute conference. Clark Blackman (left) and Chris Cannon, Real Fiduciary Practices Board members, wear their 'Fiduciaries Rock' hats at the CFA event in Fort Lauderdale.

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