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Financial Advisor March 2008 David Lawrence |
A Higher Standard It is incumbent on all financial advisors to acknowledge their potential role as a fiduciary and act accordingly where and when applicable. So, that leads to a question of just what a fiduciary does during a typical day.  |
Financial Advisor May 2010 Bill Bachrach |
What Lower Standards Bring A lack of fiduciary standards for the industry means that as an advisor you have a competitive advantage when you put the client first.  |
Financial Advisor September 2012 Jeff Schlegel |
Not Making The Grade Financial advisors aren't as fiduciary as they should be, a new survey finds.  |
Registered Rep. June 30, 2010 Christina Mucciolo |
Clients, though Mostly Satisfied, in the Dark about FA Fees, Says Study Overall advisors and investors are still confused about what the advisors' fiduciary responsibility is exactly.  |
Financial Planning November 1, 2006 Bob Veres |
Fiduciary Fire Index At the start of the new year, the Pension Protection Act will go into effect and expose all over again the fact that, although we all like to talk about fiduciary standards, there really isn't any consistent definition of the term.  |
Financial Planning February 1, 2010 Deena Katz |
Our Cosmic Glue Competing ideas may pit financial advisors against one another, but a much more powerful force should unite them, which is the desire to serve clients well.  |
Financial Advisor March 2012 Donald B. Trone |
Defining 'Fiduciary' In Three Dimensions It means different things to different advisors, depending on their registered status, experience and background. What is clear is the need to continue to build consensus around what the term means to the industry.  |
Financial Planning January 5, 2008 Glenn G. Kautt |
Are You Certifiable? As regulators turn up the heat on the planning profession, can you meet the highest fiduciary standards available today?  |
Investment Advisor March 2008 Melanie Waddell |
Figuring Out Fiduciary What, exactly, does fiduciary advisor mean? How can an advisor know for sure if he's fulfilling his fiduciary obligations? Are there any real guidelines?  |
Financial Advisor December 2009 David Lawrence |
Standards Of Care Fiduciary concepts are having a bigger impact on the financial services industry and your practice.  |
Investment Advisor September 2010 Melanie Waddell |
The Playing Field: The Dodd-Frank Reform Bill Afterlife A fiduciary standard for all may crimp RIAs' competitive edge.  |
Investment Advisor February 2010 Bob Clark |
Clark at Large: Declaration of Independence Starting with fiduciary duty, I propose standards for a new profession.  |
Investment Advisor August 2007 Bob Clark |
Genius, Pure Genius Fake studies with unsound data and faulty conclusions put people who are trying to do the right thing on the wrong track. The problem is that for over a hundred years, the financial services industry has gotten away with a fraud: acting like "advisors" but being compensated as salespeople.  |
Financial Planning May 1, 2010 Bob Veres |
In Their Own Words A fiduciary standard would be an important and powerful protection for the American consumer, and a giant step forward in the evolution of the financial advisory profession.  |
Financial Planning July 1, 2010 Marion Asnes |
Envestnet's Fiduciary Opportunity Bill Crager, president of Envestnet, is not going to wait for Washington to figure out the fate of the fiduciary standard. The way he sees it, the market has already spoken.  |
Financial Advisor October 2009 Kristina Fausti |
A Higher Standard It appears that the SEC will remain the primary federal regulator of investment advisors, at least for now.  |
Financial Planning March 1, 2011 Donald B. Trone |
All for One... A uniform fiduciary standard of conduct, coupled with harmonized regulations, should dramatically improve the process for investors.  |
Financial Advisor July 2004 Tracey Longo |
Can Prudent Practices Save Your Business? A new booklet outlines the steps fiduciaries should follow. Ignore the book at your own peril: It's already been used decisively in two lawsuits against advisors.  |
Financial Planning December 1, 2009 Kristina Fausti |
Fiduciary Q and A Most advisors are still not clear on the issues regarding a fiduciary standard. Here are some Qs and As on the subject.  |
Registered Rep. September 13, 2004 John Churchill |
A Broker or An Advisor? A hot topic among the financial planning community as financial planners continue to try to define and bolster themselves as a profession: fiduciary status. Of particular concern is the "broker-dealer exemption rule" to the Investment Advisers Act of 1940.  |
Investment Advisor May 1, 2011 |
More Than Kin, Less Than Kind Legitimate questions raised by Republicans should be answered. The problem is that the incestuous relationship the SEC has with the industry does not allow a frank discussion of what regulatory reform means to the consumer for fear of criticizing the industry's current state.  |
Financial Planning October 1, 2006 Elizabeth O'Brien |
The Fiduciary Fracas Debate and controversy over the elusive standard could be just what the industry needs.  |
Investment Advisor August 2010 Bob Clark |
Can't Beat 'Em? Then Stall 'Em Despite the reform bill's ambiguity, a fiduciary standard for all seems likely.  |
Financial Advisor October 2010 Scott A. MacKillop |
One Standard, Period The debate over the fiduciary standard should be about clients - and it would be over in a heartbeat if it were.  |
Investment Advisor May 1, 2011 Kathleen McBride |
SEC and the Fiduciary Study: Where Do We Go From Here? It's not whether to extend fiduciary duty, but how to extend it  |
On Wall Street July 1, 2010 Frances A. McMorris |
Confusion Reigns Among Wirehouse Advisors On The Fiduciary Issue With all the frenzy over the call for a universal fiduciary standard for all financial and investment advisors, it appears that those in the wirehouses don't really understand the debate.  |
Financial Advisor September 2006 David L. Lawrence |
A Fiduciary Practice For financial advisory firms, operational challenges come with offering advice.  |
Financial Planning September 1, 2007 Bob Veres |
The Dual Reality The FSI and independent broker-dealer community have become pivotal voices in the profession. What they see in the future might surprise you.  |
Financial Planning June 1, 2005 Harold Evensky |
The New 'F' Word A new group would irrefutably link the concept of "fiduciary" to financial advice.  |
Investment Advisor July 2010 Bob Clark |
Clark At Large: Done Deal Even without a mandated fiduciary duty for all who give advice, the cat's out of the bag.  |
Financial Planning September 1, 2006 David Spinar |
Even the Playing Field Congress needs to standardize the regulations for investment advisors and broker-dealers.  |
Financial Planning June 1, 2011 Donald B. Trone |
Code of Conduct As the SEC engages in the rule-making associated with its proposed uniform fiduciary standard of conduct under the Dodd-Frank Act, it likely will focus its attention on an advisor or broker's duty of loyalty and duty of care.  |
Registered Rep. August 19, 2009 Christina Mucciolo |
Haggling Over The F Word Continues Regulators, consumer advocates and politicians continue to hammer out what it might mean for Series 65 investment advisors and series 7 registered reps to adhere to the new fiduciary standard.  |
Investment Advisor December 2009 Kathleen M. McBride |
B/D Briefing: Surprise Broker Sentiment Most appear to support a fiduciary standard.  |
Investment Advisor September 2010 Melanie Waddell |
Washington Watch: Industry Heeds SEC's Call for Comments SEC flooded with comments on fiduciary standard; 'fiduciary forum' on September 24.  |
Financial Advisor February 2007 Roy Dilberto |
Establishing Trust In Financial Planning For large wirehouses, they need to understand that business is not leaving them and being transferred to independent advisors because of the fee structure. It is because most of these people are registered as investment advisors and follow the spirit as well as the letter of the fiduciary relationship.  |
Investment Advisor September 2008 Steve Moore |
Less Is More To become a wealth manager, you may want to start with fewer clients.  |
Investment Advisor March 1, 2011 Kathleen Mcbride |
SEC and the Fiduciary Study: The Process Why the fiduciary standard became such a hot topic for regulators  |
Investment Advisor November 2006 Thomas D. Giachetti |
Defining Fiduciary What is a financial advisor's true fiduciary duty?  |
Investment Advisor October 2006 Melanie Waddell |
Catching up with... An interview with Tom Grzymala, a former RIA and Accredited Investment Fiduciary Auditor about ensuring those advisors who proffer advice are living up to fiduciary standards.  |
Investment Advisor June 2007 |
Fiduciary First of All Letters to the editor: Doing the Fiduciary Wiggle... Corrections... etc.  |
On Wall Street July 1, 2009 Helen Kearney |
The 'F' Word Stirs Up Controversy Advisors who fall under the new fiduciary standard, namely investment advisors who run a fee-based business, must always put clients' interests before of their own.  |
Investment Advisor May 2010 Bob Clark |
Clark at Large: Hope and Change Hope is waning for a fiduciary standard for brokers. But the battle's not over yet.  |
Financial Planning January 5, 2008 Elizabeth O'Brien |
The New Fiduciaries LPL and Fiduciary360 educate advisors on retirement consulting in the Pension Protection Act of 2006 era.  |
On Wall Street December 1, 2009 Mark Astarita |
Brokers as Fiduciaries -- Much Ado About Nothing There is a battle cry to place a fiduciary obligation on retail brokers. But the real question is: What difference will it really make?  |
Financial Planning October 1, 2010 Katherine Reynolds Lewis |
Study Harder New Dodd-Frank legislation kick-started two major initiatives that could transform the way financial advice is regulated and for the first time subject financial planning to explicit regulatory oversight.  |
Financial Planning February 1, 2011 Donald B. Trone |
12 Steps to the Future If you have never prepared a checklist to evaluate your practice, 2011 is the time to start. You'll need to know your strengths and weaknesses as advisors in what promises to be an interesting year.  |
Financial Planning August 1, 2010 Morris Armstrong |
Different Look There are enormous legal differences when reviewing the operations and responsibilities of a broker-dealer and a RIA.  |
Financial Planning April 1, 2011 Donald B. Trone |
Costly Decisions Many people think a fiduciary must select the lowest-cost service provider or lowest-priced basket of goods and services for clients. Not so.  |
Financial Planning November 1, 2010 Trone & Harvey |
The New Rules of the Road The following four regulatory reforms will likely have the most impact on the financial services industry over the next 24 months. Here's a short synopsis of what they will require.  |