fid_graphic_onlyFiduciary September 2014


Welcome to Fiduciary September. The Institute celebrates Fiduciary September to highlight the indispensable role fiduciary principles serve in preserving trust and confidence in our capital markets. It includes:

    • Urging Congress and the SEC to apply the fiduciary standard and the six core fiduciary duties to all professionals rendering investment advice.
    • Urging industry participants to embrace fiduciary duties when investment advice is rendered.
    • Educating investors about the sharp differences between fiduciary advisors and sales brokers.

 

News

  • September 10, 2014 – Best Practices’ Move Forward With Council of Advisors, NAPFA Strategic Alliance, Brian Hamburger as General Counsel to the Best Practices Board. here
  • September 10, 2014 – Key Principles for Fiduciary Best Practices and an Emerging Profession. here
  • September 3, 2014 – Fiduciary September Stresses Vital Role of Centuries-Old Law in Investment Advice. here
  • August 25, 2014 – The Institute for the Fiduciary Standard announces the events for Fiduciary September 2014. here
  • July 31, 2014 – TD Ameritrade Institutional to be “Exclusive Sponsor” of Institute’s Fiduciary September Program here.

 

Media Coverage

 

Fiduciary September Quotes

You gotta like Knut Rostad’s determination. Like a great Viking warrior, he doesn’t let overwhelming numbers dissuade him from his courageous quest of honor. But, while Odin might not have the patience to suffer the political intrigues of Washington, Knut remains ever diligent, his mental feet forever in motion, looking for that clear opening towards that Valhalla we call the Fiduciary Standard. So, when the elite policy makers appear to have either been bought off by entrenched interests or justifiably shackled by philosophy, Knut without second thought adjusts course towards the more direct approach. He explains the trials, tribulations, and his new angle in this month’s Exclusive Interview with FiduciaryNews.com. Read it here and marvel at his acumen, his determination, and his frank observations.

Christopher Carosa, CTFA
Fiduciary News

Conference Call Recordings

Sept. 4: “The State of Financial Regulatory Reform: Wall Street v The Fiduciary Duty and Core Investor Protections; Where We Are and What’s Ahead”

  • David Certner, AARP 
  • Dennis Kelleher, Better Markets 
  • Barbara Roper, Consumer Federation of America 
  • Sheryl Garrett, Garrett Planning Network 
  • Mary Malgoire, The Family Firm 
  • Tara Siegel Bernhard, New York Times, (Moderator)

Sept. 8: “Restoring Investor Trust in Wall Street, with Broker-Dealers and Investment Advisers”

  • John Taft, RBC Wealth Management
  • Michael Falk, Focus Consulting Group
  • Jack Waymire, Paladin Registry
  • David Armstrong, WealthMangement.com, (Moderator)

Sept. 9: “Best Interest Investing” Podcast Launch

  • An interview with Vanguard Founder John C. Bogle, by Don McDonald

Sept. 11: “Best Practices: What Are They, Why We Need Them”

  • Knut A. Rostad, Institute for the Fiduciary Standard
  • Chris Cannon, First Financial, Best Practices Board
  • James W. Watkins, Investsense.com
  • Blaine Aikin, fi360
 

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