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You are here: Home / Archives for Research

Research

The Fiduciary Obligations of Financial Advisors Under the Law of Agency

By The Institute on March 19, 2013

Robert Sitkoff

By By Robert H. Sitkoff — “Whether a financial advisor is an “investment advisor” or a “broker” (or neither) under the federal securities laws, an advisor may be an agent under the common law of agency.”

Selling Advice And Creating Expectations: Why Brokers Should Be Fiduciaries

By The Institute on December 1, 2012

Arthur Laby

By Arthur B. Laby — Because investors reasonably expect that brokers will, in fact, operate in a fiduciary capacity, the SEC should impose a fiduciary duty on brokers that give investment advice.

The Scandal Behind the New Financial Scandals

By The Institute on July 1, 2012

Recent scandals, such as the controvery over Libor and the failure of the brokerage firm Peregrine Financial Group, underscore the severe problems within the financial industry. Such controversies have led savers to withdraw hundreds of billions of dollars from equity mutual funds. Are these events the new normal or are we at a breaking point?

Why Capitalism Has an Image Problem

By The Institute on July 1, 2012

Capitalism has played an important role in world history generally and in American history in particular. Nevertheless, today many Americans view capitalism with suspicion or even hostility. What’s needed is a remaking of the case for capitalism, which itself requires a restatement of capitalism’s old truths.

A Discussion of Some of the Differences Between the Regulatory Requirements of Brokers and RIAs

By Knut Rostad on April 11, 2012

A discussion of the differences in the standards of investment advisers and brokers is essential amidst the calls for “harmonizing” the two. This paper seeks to highlight how these two standards differ in terms of the legal requirements and duties imposed on advisers and brokers.

Rulemaking Re: Brokers, Dealer and Investment Advisers

By The Institute on April 9, 2012

On July 14, 2011 SIFMA submitted comments to the SEC on a proposed framework for establishing a uniform fiduciary standard of conduct for broker-dealers. SIFMA’s proposal departs from the fiduciary standard as set forth under the Advisers Act of 1940 and, if adopted, would be particularly harmful 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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