| Similar Articles |
|---|
 |
Financial Planning
September 1, 2011
Donald B. Trone |
Code of Conduct The SEC has done little to define the baseline professional conduct associated with the proposed standard-an advisor's duty of care.   |
Financial Planning
May 1, 2010
Donald B. Trone |
Step Two: Strategize As discussions heat up between the SEC and FINRA surrounding a new fiduciary standard, let's take a close look at ways advisors can get ahead of the game. |
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 Planning
February 1, 2010
Donald B. Trone |
The Practical Fiduciary The steps required to create a fiduciary practice are similar to those of the financial planning process. Here's how to get started. |
Financial Planning
September 1, 2010
Trone & Harvey |
Sweet Harmony Industry and regulators can feel comfortable that a fiduciary standard need not be cumbersome, but should, when properly crafted, significantly improve how investment decisions are prudently managed. |
Financial Planning
April 1, 2010
Donald B. Trone |
Step One: Analyze Regardless of when a fiduciary standard is implemented and whichever group is assigned to monitor it, one thing is certain: You will need to build an investment management process that meets a higher standard of care. |
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.
July 15, 2011
Kristen French |
SIFMA Wants Fiduciary Standard Governed By Client Contracts Broker/dealer trade group SIFMA fired off the latest round in the ongoing tangle over the fiduciary standard Thursday. The group sent a letter to the SEC that recommends creating for broker/dealers a modified version of the fiduciary standard that currently governs investment advisers. |
Financial Planning
December 1, 2009
Donald B. Trone |
Standing on Principle Broker-dealer senior management must move their organizations from a rules-based framework, which requires little standard of care, to a principles-based framework, which requires a high standard of care. |
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
June 1, 2010
Donald B. Trone |
Step Three: Formalize When upholding a fiduciary standard, ensuring your investment strategy is prudently planned and well-documented is vital. |
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
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. |
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 |
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. |
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. |
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. |
Investment Advisor
February 1, 2011
Melanie Waddell |
2011: The Year the Advisors' Playing Field Fundamentally Changes All eyes this year will be focused on the exchanges that will ensue between lawmakers and the Securities and Exchange Commission regarding putting brokers under a fiduciary mandate and appointing a self-regulatory organization. |
Investment Advisor
March 1, 2011
Bob Clark |
A Study in Flexibility SEC's Study on Investment Advisors and Broker-Dealers leaves too much wiggle room to declare victory yet. |
Registered Rep.
January 23, 2011
Kristen French |
SEC Recommends Strict Fiduciary Standard For Broker/Dealers An SEC study released over the weekend could represent a major push towards a more uniform regulatory framework for the fragmented wealth management business. |
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 Advisor
May 2012
Donald B. Trone |
Discernment And Right Versus Wrong Reforming the flawed corporate ethos of Goldman Sachs or implementing a fiduciary standard, codes and regulations won't be enough to provide the best outcome. |
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 Advisor
July 2012
Donald B. Trone |
The Fiduciary-Steward If federal efforts to subject more people to the fiduciary standard lower the bar, advisors who offer a higher level of care may call themselves fiduciary-stewards. |
Investment Advisor
May 1, 2011
Bob Clark |
The Polar Bears Thawing out our modern black and white thinking could save the fiduciary standard. I don't usually write about politics, except when it has a direct impact on financial advice, and this appears to be one of those times. |
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. |
On Wall Street
July 1, 2013
Kenneth Corbin |
Panel Weighs Bill to Block Dodd-Frank New draft proposal is part of a House movement to reign in the legislation. |
The Motley Fool
November 27, 2006
Dan Caplinger |
Financial Planning Ethics With the increasing complexity of the financial world, it's increasingly important to find professionals you can trust. By choosing a financial planner who is governed by strict ethical principles and guidelines, you can feel more confident that you will get the advice and assistance you deserve. |
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. |
Investment Advisor
September 2010
Bob Clark |
Clark at Large: Time to Represent, Advisor Leaders! Advisors can play a powerful role in the SEC's fiduciary deliberations, if they can get their leaders to lead. |
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
October 2, 2007
Michael Dubis |
The Fiduciary Test As a financial planner, are you really on your clients' side? Ask yourself some of these tough questions. |
Investment Advisor
November 2006
Thomas D. Giachetti |
Defining Fiduciary What is a financial advisor's true fiduciary duty? |
Financial Advisor
March 2011
Jeff Schlegel |
Is Uniformity Possible? Broker-dealers expect some changes if a new fiduciary standard is adopted. |
Registered Rep.
March 1, 2005 |
Responsibility Issues When is a broker or a financial planner a fiduciary? |
On Wall Street
March 1, 2011
Lorie Konish |
A Uniform Fiduciary Standard May Reduce Investment Choices The fallout from the U.S. Securities and Exchange Commission's recent recommendation of a uniform fiduciary standard rolls on. As dates for hearings hang in the air, so do the possible effects on the wealth management industry. |
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? |
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
October 2010
Bob Clark |
The Empire Steps Up The Financial Planning Coalition's letter on the Securities and Exchange Commission's "Study Regarding Obligations of Brokers, Dealers and Investment Advisers" will knock your socks off. |
Financial Planning
November 1, 2009
Donald B. Trone |
Restoring Trust Fiduciary responsibility is based on trust, whether it is formally and legally defined or simply conveyed by the level of confidence one party has in another. |
Investment Advisor
August 2010
Melanie Waddell |
Advice to the SEC When it comes to the fiduciary standard, Capital Analysts President and CEO Matt Lynch says advisors "want to be sure the SEC seeks and gathers input from the industry as to how to implement these important changes." |
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
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. |
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 |
Investment Advisor
April 1, 2011 |
SEC and the Fiduciary Study: Politics and the Fiduciary Standard AdvisorOne Wealth Editor Kate McBride explains the political process under which Dodd Frank was passed, up to the SEC's reports on an SRO and fiduciary standard |
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. |
Investment Advisor
August 2009
Bob Clark |
Clark at Large: Something About Mary The drive to reregulate financial advice shifted into high gear on June 17, when the Obama Administration released its white paper containing proposals for 21st Century Financial Regulatory Reform, and passes it to SEC chair Mary Shapiro. |
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 Planning
December 1, 2009
Harold Evensky |
Clients First It is imperative that an honest, universal fiduciary standard incorporate basic principles designed to protect clients -- not brokers, advisors, or their employers. |
Investment Advisor
May 2010
Melanie Waddell |
Schapiro Speaks on Fiduciary, 12b-1s In an exclusive interview, the SEC Chairman speaks her mind. |
