RIABiz

News, Vision & Voice for the Advisory Community

RIABiz

Articles tagged "Institute for the Fiduciary Standard"


Headline

Publish date


Roger Hewins: The issue of conflict is real and complicated -- unavoidable, really.

What an RIA should make of Wall Street Journal's expose of how Schwab, Fidelity and TD Ameritrade's advice machines steer client assets

Product of a six-month of investigation, the Jason Zweig and Anne Tergesen-authored article alleges conflicts at the discount brokers are rife -- but RIA reactions to the revelations are textured

January 27, 2018 at 12:43 AM

Don Trone: You've seen the old-school testing with the wires out of the head, but today it's wireless and it looks like a swim cap and you don't even need the goop to keep it on.

Claiming DOL rule has no handle on truth, Don Trone crafts lie detector test to assess RIA brains

The Neuro-Fiduciary & Governance Psychometric Instrument involves an EEG, an interview and six colleagues willing to vouch for your true fiduciary bona fides

December 24, 2017 at 5:23 AM

Joel Bruckenstein: I turn and think to myself this guy looks a lot like Marco Rubio.

Joel Bruckenstein pitches DOL rule to Sen. Marco Rubio after fate makes them JetBlue seat mates

Rubio opened up on small investors and retirement issues -- and cracked wise about the Russians

April 17, 2017 at 6:38 PM

Knut Rostad: RIAs must also say what non-fiduciaries don't, won’t or can't do. They must highlight tasks that, in fact, many non-fiduciary firms won’t let their brokers perform.

Where RIABiz's view of RIAs as oases-of-ethics bumps up against the Merrill Lynch & Co. mirage -- and why that mirage is still so effective

Fiduciary watchdog Knut Rostad warns that RIAs must zealously expose wirehouses tricked out in best-interests-of-the-investor drag

January 6, 2017 at 6:33 PM

Ron Rhoades: The worst case would be adopting a rule and calling it fiduciary when it is actually a much weaker standard.

At MarketCounsel, a Ron Rhoades-Skip Schweiss exchange reveals new DOL-rule threat -- a Trump-led compromise creating a mutant strain of the reg that benefits no one

The problem, Rhoades says, is that a pseudo-fiduciary standard asks consumers to assume the burden of knowing what's best for them when it comes to investing, which brings the problem full circle

December 7, 2016 at 8:33 PM

Knut Rostad: Phyllis Borzi moved heaven and earth with the tools she had and I think we let her down. I think we were too polite.

How Wall Street emasculated the DOL rule with an old-fashioned end game: 'Somebody made a deal' -- and why tort lawyers are licking their chops

End-game style politics exposed fiduciaries' lack of playoff experience, but RIAs can console themselves because DOL exposed shady dealings on 'the dark side'

April 7, 2016 at 3:10 PM

Mark Casady: That is an extreme. I don't see that happening, but that is kind of the range of the thinking.

LPL CEO floats orphaning 3% of its brokerage business in prelude to DOL 'travesty'

Mark Casady says he may lop off brokerage accounts of $15,000, citing looming rule changes

October 30, 2015 at 6:28 PM

Knut Rostad: Tony ... note to self: ‘Listen to Chuck, Jack and David.’

What Tony Robbins should remember when he talks 'fiduciary'

The five-syllable word represents an attitude, way of life and something you should grasp for the good of investors

December 8, 2014 at 8:44 PM

Lou Harvey: It does mean that annuity sales will no longer be a 'caveat emptor' type of transaction.

'Paradigm shift' in 401(k) flows opens the DOL door for annuities in 401(k) plans and RIAs are split

In the wake of DOL and Treasury rulings, some fiduciaries, certainly not all, seem willing to give the oft-reviled instruments a chance

October 28, 2014 at 6:27 PM

Ron Rhoades: You're going to see a much more active NAPFA.

NAPFA's appointment of a new chairman could be a big deal for RIAs

Ron Rhoades spent the last year in obscurity but now he's "ready to take the gloves off"

May 23, 2012 at 3:03 AM

The FPA put on a humble but eye-opening event in Burlingame, Calif., this week.

A reporter empties his notebook after attending FPA's Business Solutions event

Marty Kurtz lets crowd in on peer review plan, big custodians square off on tech and Eric Clarke yields interesting thoughts in a one-on-one interview

March 8, 2012 at 4:49 AM

Harold Evensky: They want to be in a position to raise money from industry sources and that's something we didn't want to do.

Fiduciary leaders splinter into two advocacy groups over divergent views

Knut Rostad takes six people with him to start the Institute for the Fiduciary Standard

August 25, 2011 at 5:24 AM

— There are no additional results —

RIABiz Directory

The Industry Sourcebook for RIAs

   |    LISTING


RIABiz Directory sponsored by:

Directory Sponsor Logo