Views on improving the integrity of global capital markets

Fiduciary Duty


Morningstar Report Determines Winners and Losers of DOL Fiduciary Duty Rule

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?

NYSSA Event Unwraps DOL Conflict of Interest (Fiduciary) Rule

The Department of Labor advises asset managers to be ready to comply with the fiduciary rule by the target implementation date of April 2017. Will lawsuits delay this plan?

SEC Investor Group: Mutual Funds and ETFs Should Provide Better Cost Disclosures

The group is worried about investment fund costs, said CFA Institute managing director Kurt Schacht, CFA. Our study shows even a 1% annual fee can consume over 30% of investors’ returns over 40 years.

DOL Fiduciary Rule: Though Complex It Moves Investment Advice Model in Right Direction

The US Labor Department has released its final fiduciary rules for retirement advice. While the rules steadfastly maintain their requirement for a best-interests contract for most arrangements between investors and nonfiduciary advisers, the federal agency relented on a number of troublesome implementation matters.

DOL Fiduciary Rule: What Are the Implications for the Investment Industry?

Since the Department of Labor issued its sweeping — and controversial — fiduciary rule proposal last April, the investment industry has remained largely divided on stricter requirements for investment professionals working with retirement plans.

2015 Top 10 Posts: Toshiba Scandal, Bank Risk, Fiduciary Rule, Shadow Banking

From the Toshiba accounting scandal to the Labor Department’s controversial fiduciary rule proposal, 2015 has been an eventful year for capital markets.

Labor Fiduciary Rule Proposal Safe … for Now

Despite attempts to gut, or at least delay, the Labor Department’s fiduciary rule, other priorities ultimately ruled the day for Congressional opponents.

DOL Fiduciary Rule: Political Grandstanding, Fearmongering Overshadow Investor Needs

As the Department of Labor, Congress, and the investment industry spar over a proposal to raise investment advice standards for retirement accounts, it’s easy for some to lose sight of what’s important: the need to protect investors.

Republican Hurt: Congress Could Use Funding Clout to Derail Fiduciary Rule Plan

In a wide-ranging interview on financial policy issues, US Rep. Robert Hurt (R–VA) discusses Dodd-Frank and the Labor Department’s controversial fiduciary rule proposal to raise investment advice standards for retirement accounts.

DOL Fiduciary Rule Proposal: Armageddon or Start of Promising New Era for Investors?

It’s hard to remember a regulatory proposal that has generated such polarization.

Labor Department Fiduciary Rule Proposal Takes Important First Step

CFA Institute urges a single standard of care from those who advise investors that honors client interests above all others.

Vantage Points: Investment Adviser Group Head Says SEC Rule on Broader Fiduciary Duty Long Overdue

Karen Barr on whether broker-dealers should be governed by same principles-based fiduciary duty as required under the Investment Advisers Act.

How Would You Change Finance for the Better?

Align adviser incentives with client needs, and create societal benefits instead of chasing quarterly profit targets or outsize bonuses.

SIFMA Best Interests Standard for Broker-Dealers: Right Words, Wrong Substance

SIFMA proposal clings to antiquated idea that product sales is reasonable substitute for quality investment advice.



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