Views on the integrity of global capital markets

Advisory Relationship


DOL Fiduciary Rule: What the Proposed Delay Means for its Future

CFA Institute responds to the DOL’s request for comment on whether it should delay implementation of its fiduciary rule.

Don’t Junk the DOL Fiduciary Rule

The incoming Trump administration has said it may stop the implementation of the DOL’s fiduciary rule, but the industry needs it to win back the public’s trust.

DOL Fiduciary Rule — What’s Happening Now and Its Possible Future

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)

Genesis of DOL’s Fiduciary Rule and Why the Political Battle Wages On

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?

SEC’s Investor Advisory Committee Urges Full Transparency on Bond Trades

IAC’s Kurt Schacht: “For too long, the fixed-income market has had a veil … around fees, bid-offer spreads, and [broker/dealer] mark-ups. Retail investors in particular are looking for some sunshine.”

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 Seeks Public Input on Improving Effectiveness of Investor Disclosures

Can the business and financial disclosure requirements of Regulation S-K be improved? Investors have an opportunity to help shape the new rules.

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.



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