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You are here: Home / Fiduciary September 2014

Fiduciary September 2014

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Welcome to Fiduciary September. The Institute celebrates Fiduciary September to highlight the indispensable role fiduciary principles serve in preserving trust and confidence in our capital markets. It includes:

  • Urging Congress and the SEC to apply the fiduciary standard and the six core fiduciary duties to all professionals rendering investment advice.
  • Urging industry participants to embrace fiduciary duties when investment advice is rendered.
  • Educating investors about the sharp differences between fiduciary advisors and sales brokers.

News

  • September 10, 2014 – Best Practices’ Move Forward With Council of Advisors, NAPFA Strategic Alliance, Brian Hamburger as General Counsel to the Best Practices Board.
  • September 10, 2014 – Key Principles for Fiduciary Best Practices and an Emerging Profession. h
  • September 3, 2014 – Fiduciary September Stresses Vital Role of Centuries-Old Law in Investment Advice.
  • August 25, 2014 – The Institute for the Fiduciary Standard announces the events for Fiduciary September 2014.
  • July 31, 2014 – TD Ameritrade Institutional to be “Exclusive Sponsor” of Institute’s Fiduciary September Program.

Sept. 8: “Restoring Investor Trust in Wall Street, with Broker-Dealers and Investment Advisers”

  • John Taft, RBC Wealth Management
  • Michael Falk, Focus Consulting Group
  • Jack Waymire, Paladin Registry
  • David Armstrong, WealthMangement.com, (Moderator)

Sept. 9: “Best Interest Investing” Podcast Launch

  • An interview with Vanguard Founder John C. Bogle, by Don McDonald

Sept. 11: “Best Practices: What Are They, Why We Need Them”

  • Knut A. Rostad, Institute for the Fiduciary Standard
  • Chris Cannon, First Financial, Best Practices Board
  • James W. Watkins, Investsense.com
  • Blaine Aikin, fi360

Institute & Industry Leaders

 

Chris Cannon, board member of the Institute's Real Fiduciary™ Practices and CFA Society Orlando, interviews Boston University Professor of Law Emerita, Tamar Frankel.

Frankel explains what led her to spend her career focusing on fiduciary law, what it means to be a fiduciary, and what conflicts of interest exist within the advisory space. She then offers her thoughts on what regulators should do to help eliminate these conflicts.

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."

- Carolyn McClanahan, Founder of Life Planning Partners

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