Elizabeth MacBride

Influential fiduciaries endorse bootstrapping advisory-industry SRO

Sheryl Garrett:  “Given the funding issues currently facing the SEC, it may not get the resources to continue to regulate registered investment advisers. In that event, the Committee supports an alternative self-regulatory organization (SRO)."

Consumer Federation of America

Mercer Bullard

Committee for the Fiduciary Standard

SROIIA

Barbara Roper

David Tittsworth

Sheryl Garrett

The past two years have been some of the most momentous in the relatively short history of the RIA profession. Legislators and regulators have been gradually embracing the fiduciary standard, though whether it will fully apply to everyone calling themselves advisors remains to be seen.

The Department of Labor’s crusade to lower costs and increase transparency in retirement plans means a spate of new regulations affecting advisors and brokers in that market. Dodd-Frank Financial Reform, meanwhile, continues to unroll across the profession, with the biggest change being a shift to state oversight of RIAs with less than $100 million AUM. In this section, you’ll find continually updated RIABiz.com coverage on all these topics.

RIA Compliance

The RIA business is many good things but integrated from a gender standpoint is not one of them. This is not so great. Women are the majority of humanity and they have an asset-building strategy that can't be beat. Women outlive their beer-and-steak mates and end up with big estates. But today's women have too another strategy -- pursuing wealth in the workplace. Yet when they go to find fellow women to talk all this through with, they don't readily find them. 

Companies big and small have for decades fallen over themselves to say that they have women's initiatives but I can't think of one that has amounted to much. But there are stories-- dozens or hundreds -- of them about women exerting their influence on this business and we are starting to collect them. It's a starting place -- documenting the ground being covered by women in the form of engaging tales graphically depicted by the physiognomy of the fairer sex.

Women of Wealth Management

Maria Elena Lagomasino and Harold Evensky among those giving nod to Mississippi law students

Influential fiduciaries endorse bootstrapping advisory-industry SRO

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Influential fiduciaries endorse bootstrapping advisory-industry SRO

Related Moves

June 21, 2024 at 3:46 AM

March 5, 2021 at 1:16 AM

RIABiz Directory

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