Displaying 18 results
Fiduciary Institute shapes next-gen advisors with leadership course
The program seeks to build on the vision articulated by industry icon Dick Wagner.
Industry, investor advocates square off in comment letters about DOL advice rule
Battle lines drawn again as trade associations call on DOL to withdraw proposal, while proponents say measure fills a regulatory gap.
Fiduciaries must show they can serve Main Street investors to win DOL rule debate
'They’re making x dollars in a brokerage account,' says advisor. 'Just charge the client x but give them fiduciary advice for that x.'
SEC penalizes small Wisconsin B-D $50,000 over Reg BI faults
Carl M. Hennig Inc. has 10 registered reps and about $1.3 billion in client assets.
Political clock ticks as Labor readies next version of fiduciary rule
The measure is likely to make a rollover recommendation a fiduciary act. But if the agency doesn't complete the measure soon, it's vulnerable to being overturned by the next Congress and White House.
SEC meets strong industry resistance on advisor outsourcing proposal
Critics say the measure's due diligence and monitoring requirements for third-party providers of portfolio management and other services are unnecessary given advisors' fiduciary duty.
No fee model is perfect: RIA Summit 2022
The goal is for independent registered investment advisers to explain to clients simply and transparently what they're paying for services provided.
Financial advisers debate the best way to charge clients
A new generation of advisers is critiquing traditional AUM fees and advocating for alternatives.
Why has Knut Rostad lost faith in the SEC?
During Fiduciary September, the head of the Institute for the Fiduciary Standard worries that the SEC is eroding the standard.
What would Jack Bogle do? Ask Vanguard’s clients
Vanguard founder John Bogle took his fiduciary mandate very seriously and focused on embedding it in the company's culture.
Fiduciary advocates raise alarm about SEC limits on term ‘fiduciary’
In a set of frequently asked questions about Form CRS, the SEC cautions investment advisers about saying that they're held to a fiduciary standard.
Fiduciary advocates call on SEC to fix Form CRS
A new study by the Institute for the Fiduciary Standard asserts the document blurs the line between advisers and brokers.
Fiduciary backers seek ‘highest legal standard’ in Form CRS disclosures
The Institute for the Fiduciary Standard on Tuesday proposed a redesigned customer relationship disclosure, known as Form CRS, that provides a side-by-side comparison of advisers and brokers.
Fiduciary redux: Don’t tinker with Reg BI
The client choice approach reflected in Reg BI is in fact the best approach for individual investors because every individual and family is unique when it comes to their wealth management needs and goals.
Forget the F-word — RIAs play down fiduciary standard online
A review of 45 fee-only advisers by the Institute for the Fiduciary Standard shows only 14 of them mention the term on their website homepages
Borzi challenges SEC to use Reg BI to attack revenue sharing conflicts
The architect of the DOL fiduciary rule remains skeptical of the SEC measure
Merrill Lynch revises mutual fund compensation ahead of Reg BI
The brokerage will level the pay its advisers receive for the sale of some share classes, among other changes
Adviser trade associations tell SEC to rework proposal to modernize advertising rule
Concerns raised in comment letters include the expanse of the new rule and compliance costs
