- Best Practices
- Fiduciary September
- Frankel Prize
- Campaign for Investors
The Campaign for Investors is a groundbreaking national initiative to educate and empower investors and financial advisors on working together to serve investors’ best interests.
Overseen by the Institute for the Fiduciary Standard, the Campaign will provide tools and resources to educate investors on their rights when working with an advisor, as well as provide advisors with the guidance they need to best meet their clients’ interests and remain essential in an increasingly competitive industry.
On July 5, 2018
Advising in an intimate relationship of two differs markedly from offering incidental advice in a sales relationship of three. This is what the SEC needs to know to close the gap and create a standard retail investors would reasonably expect.
On March 23, 2018
Judge Edith Jones argues for the logic and reasonableness in demarcation. Her ruling also argues for the central importance of reforming job titles, reinforcing a clear line between brokers and advisors.
On January 10, 2018
What’s ahead for 2018? There seems to be little basis to believe that the SEC will require financial advisers to act in the best interests of clients by requiring their advice (apart from any accompanying disclosure) to be unaffected by the adviser’s conflicts.
On November 8, 2017
Mark Tibergien, the Pershing Advisor Solutions CEO, is sure to upset many RIAs, as his comments on RIAs suggest in an Oct. 18 discussion I had with him.
On October 3, 2017
Former SEC Commissioner Luis Aguilar spoke these words in 2010 when Dodd-Frank was under construction in Congress: “While the scope of service may vary between clients, the standards of loyalty and care in providing that service should not. You simply cannot be three-quarters of a fiduciary.”