Fiduciary Corner

Blaine F. Aikin, chief executive of fi360, sheds light on the latest issues facing fiduciaries.

Displaying 122 results

Topic

ESG data getting better as the market matures

In one indication of how rapidly the market is evolving, S&P Dow Jones launched the S&P 500 ESG Index in January.

Topic

What you need to know about professional fiduciaries

A new model law would allow states to do a better job of protecting the interests of those subject to guardianship.

Topic

Fiduciary duty and the choice between active and passive

The well-recognized merits of passive investing do not mean that all index investments are prudent or superior to active alternatives in all situations.

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Can investment advisers disclose away all conflicts? Can brokers?

There's still disagreement over whether disclosure and informed client consent are enough to satisfy a fiduciary's obligation to act in the client's best interest.

Topic

Client divorce splits advisers’ fiduciary duty of loyalty

Working with a divorcing couple poses challenges, but specialized training programs can help advisers better serve this large market segment.

Topic

Why you should still take the fiduciary high ground on 401(k) rollovers

Despite death of DOL fiduciary rule, regulators continue to look at rollover advice from advisers.

Topic

When it comes to the proposed SEC advice rule, words matter

The rule would create a second, non-fiduciary version of the term 'best interest.'

Topic

Time for SEC to take fiduciary baton from DOL

The SEC likely will adopt the DOL's definition of fiduciary, and put a rule in place by the end of 2019.

Topic

These 401(k) lawsuits show the value of investment policy statements

Abiding a well-crafted IPS can help minimize legal trouble for plan fiduciaries.

Topic

Mitigating conflicts of interest in compensation

Self-regulation could yield less government intervention and greater firm flexibility to satisfy fiduciary principles.

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