Practical analysis for investment professionals

fiduciary standard


DOL Fiduciary Rule: Moving Investment Advice in the Right Direction

After more than a year of posturing, agonizing, and distress, the US Department of Labor (DOL) has finally released its conflicts of interest and fiduciary rules for personal retirement accounts, including IRA rollovers.

Sustainable Investing and Fiduciary Responsibility: Conflict or Confluence?

An interview with David Blood reveals why sustainability is integral to fiduciary duty.

Weekend Reads for Finance Pros: Fiduciary Protection, Mindfulness, and Courage

Every now and then I come across something so good, I immediately scribble it (or type it) down lest I forget. That’s what happened when I shared a quote about courage with some of my… READ MORE ›

Weekend Reads for Finance Pros: Secular Sabbath, Fiduciary Standard, and Investing

Take time to pause this weekend, even if it's to read an article or two you didn't get around to earlier in the week, or to carve out some time to just "be" and not "do."

Weekend Reads for Advisers: Our Brains, Psychopaths, and (Failed) Resolutions

Back in my fomer life, I was a reporter and editor at the Financial Times, where, for a time, I edited James Altucher’s regular FT column. His musings were often irreverent and amusing and, needless to say, attracted a… READ MORE ›

Markets May Be Up, But Trust Is Still an Issue, Says CFA Institute President and CEO John Rogers, CFA (Video)

"Why don't we feel better that the markets are up this year?" asked John Rogers, CFA, president and CEO of CFA Institute, in an appearance earlier today on Bloomberg TV. The answer: "It's because ethics matter."

Five Reasons for a Uniform Fiduciary Standard

In order to have fair and transparent markets, all investors must feel confident that the investment advice, products, and services offered by investment professionals are not only suitable for them but also in their best interest. This can be accomplished by imposing a uniform fiduciary standard of care on all investment professionals that provide advice to clients.



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