Since my last blog on the issue, the topic of finance and climate change has risen to headline news, thanks to the Extinction Rebellion protests, including near the CFA Institute London offices at Bank Junction.
After the US Court of Appeals for the Fifth Circuit vacate the fiduciary standard, the brokerage industry lost no time in rolling back some of its policies specifically adopted in response to that rule.
If the SEC adopts a rule as proposed, broker/dealers will no longer be able to use the term “adviser” or “advisor” in their names or titles when marketing themselves to investors.
The North American Securities Administrators Association (NASAA) has published a survey for investment adviser representatives (IARs) to collect opinions on the implementation of a continuing education program.
CFA Institute urges three approaches that will clarify that only registered investment advisers can provide personalized investment advice, as well as clarify the role of broker-dealers.
The timeline for when all investors can expect their best interest to be honored just got longer with another delay in the applicability of the DOL’s fiduciary rule.
The DOL provide some clarity to the investment industry about its obligations while providing protection to retirement investors through a best interest standard. Categories: Fiduciary Duty
Trump administration delays implementation of new fiduciary rule to review potential effect on investors’ access to retirement information and financial advice
The future of the DOL rule is somewhat uncertain, but the changes probably won’t happen fast and the rule may actually already be established. Categories: Fiduciary Duty; Standards, Ethics, and Regulations (SER)
Will lawsuits delay implementation of DOL’s fiduciary rule to address conflicts of interest in retirement advice? Why is rule still so politically charged? What hard choices face investors, lawmakers?
The report on the DOL’s fiduciary rule predicts three market trends will emerge. The rise of robo-advisers is one of them. What are the other two, and who will be the winners and losers of the rule?
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