Fiduciary standard

"The process has become enervating and exhausting and to the point where you don't even want to look at it anymore," an expert says.

An overreliance on disclosure isn't enough to protect clients from bad brokers, the investor advocacy group says.

It's not too late for the the SEC to fix its flawed proposal before it issues its final rule, says the Democratic senator from Massachussetts.

It will host public forums in nearly two dozen cities over the next 16 months.

George L. Taylor and Temenos Advisory violated their fiduciary duty by pocketing commissions and concealing conflicts while the firm was in financial distress, the commission charges.

Jack Brod, the chair-elect of the board of directors, plans to heighten enforcement efforts to ensure CFPs are consistently acting as fiduciaries.

The new wave of advertising will highlight the emotional benefits of having a financial plan. Some CFPs have grumbled about funding previous advertising initiatives with their certificant fees.

Creation of the blue-ribbon body draws praise and confusion from CFPs who question its utility.

Six fiduciary groups call on advisors press SEC to clarify the differences between advisory and brokerage business models.

Technology advancements aside, navigating the new regulatory requirements still takes work.

While the demise of the Department of Labor’s regulation will hurt investors, it makes fiduciary advisors even more relevant.

Lawmakers praise the spirit of the rule, but want to see a true uniform fiduciary standard.

Disparate voices in the fiduciary debate agree that Form CRS might be too dense and complex to achieve meaningful disclosure.

The regulation was dealt a fatal blow when a federal appeals court hearing a challenge to the rule by business groups vacated it in a split decision.

Keeping brokers and advisors on a separate regulatory track could preserve the “competitive advantage” that RIAs enjoy, says Schwab exec.

Walt Bettinger also took aim at robo advisors at the Morningstar conference.

Wirehouses have made some recruiting mistakes in recent years. Meanwhile some aspects of corporate strategy are being done right in certain pockets of the industry. Danny Sarch offers his insight as we continue the dialogue from our Recruiters Roundtable.

Investment advisors and broker dealers have different “relationship models” with clients, the chairman says.

The ruling scuttles the state AGs' bid to win reconsideration of the DoL’s regulation.

What should advisors expect from the upcoming regulation?