Fiduciary debate is moot, brokers are fiduciaries, says columnist
View the article at Registered Rep.
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SEC: Out with 12b-1s, in with clear fund fees
View the article at Associated Press.
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Preparing for a fiduciary future
View the article at Research.
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How financial reform gives the SEC new bite; plus at least five other things advisors ought to know about the legislation
View the article at RIA Biz.
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In final vote, Senate passes Wall Street reform 60 to 39
View the article at Registered Rep.
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FINRA may expand oversight to all financial advisers
View the article at InvestmentNews.
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Senate passes landmark financial services reform bill
View the article at Investment Advisor.
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For fiduciary backers, fight not over
View the article at InvestmentNews.
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Fiduciary battle moves to SEC
View the article at InvestmentNews.
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What went right: the story of the fiduciary standard this year
View the article at RIABiz.
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Congress says SEC can create fiduciary standard for brokers
View the article at Registered Rep.
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In reform bill, Senate and House reach deal on fiduciary
View the article at Investment Advisor.
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Three questions to a financial adviser
View the article at Smart Money.
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SEC study gains upper hand in fiduciary standard battle
View the article at InvestmentNews.
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In volatile times, it pays to revisit the IPS
View the article at InvestmentNews.
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For fiduciaries, fee monitoring gets more scrutiny
View the article at Registered Rep.
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Mercer Bullard, investor advocate, talks about financial reform
View the article at Investment Advisor.
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Fiduciary amendment attacked as loophole-ridden
View the article at Reuters.
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Post-crash, advisers yearn for structure
View the article at InvestmentNews.
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Blame for crash falls on banks, not advisers
View the article at InvestmentNews.
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Goldman proves need for higher standards
View the article at InvestmentNews.
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Former Treasury Chief O'Neill speaks to fiduciary crowd at fi360 Conference
View the article at Investment Advisor.
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Fiduciary practices front and center at fi360 Conference
View the article at Investment Advisor.
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When does market making become market manipulation?
View the article at Forbes Great Speculations Blog.
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TD Ameritrade is pulling out the stops for 100 advisors in Laguna Beach
View the article at RIA Biz.
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Level fees are right way to avoid conflicts
View the article at InvestmentNews.
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Washington Watch: The shape of reform begins to sharpen
View the article at Investment Advisor.
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Gaps, the SEC and CPAs
View the article at Investment Advisor.
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A new standard for bank brokers?
View the article at American Banker.
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New U.S. retirement plan rules could hit brokers
View the article at Reuters.
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The right way to fire your clients
View the interview on InvestmentNews.
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Will the universal fiduciary standard really succeed?
View the interview on Financial Planning.
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A newly emboldened Obama may yet win on financial services reform
View the interview on Fox Business.
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Senators to square off over financial reform
View the article at RIA Biz.
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FINRA CEO expects eventual move to fiduciary standard
View the article at The Wall Street Journal.
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Senate proposal pushes most RIAs one step closer to state regulations
View the article at RIA Biz.
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Advisors and broker dealers criticize Dodd's reform plan
View the article at On Wall Street.
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Dodd to unveil financial regulation legislation
View the interview on Fox Business.
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NY Times uncovers deeper fiduciary truth by interviewing wirehouse brokers
View the article at RIA Biz.
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The SEC's wait-and-see approach
View the article at On Wall Street.
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Trusted adviser or stock pusher? Finance bill may not settle it
View the article at The New York Times.
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'I pledge to be your fiduciary'
View the article at InvestmentNews.
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Could new rules on advice hamper broker-dealers?
View the article at Financial Planning.
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Prudence involves more than conduct
View the article at InvestmentNews.
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Let's say goodbye to 12(b)-1 fees
Blaine's January Fiduciary Corner column looks at why 12b-1 fees need to go.
View the article at InvestmentNews.com.
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SEC beefs up enforcement with specialists, staff and tools
Kristina is quoted in this article on SEC's efforts to add resources to its enforcement.
View the article at Financial-Planning.com.
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PNC execs to get nearly $14 million in stock
Rich is quoted about PNC executive bonuses.
View the article at Pittsburghlive.com.
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Reform debate on fiduciary standard for FAs heats up
Blaine and Kristina are both quoted on this regulatory reform story.
View the article at ResearchMag.com.
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The four stages of an annual review
Blaine's December Fiduciary Corner column looks at how fiduciaries should prepare for the annual year-end portfolio review
View the article at InvestmentNews.com.
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CalPERS probes oversight of two outside hedge fund advisors
Blaine quoted on CalPERS' investigation into its own oversight of hedge fund deals.
View the article at LATimes.com.
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Fiduciary Q and A
Kristina looks at the state of regulatory reform and the concept of fiduciary standard harmonization.
View the article at Financial-Planning.com.
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Time to focus on target date fund reform
Blaine's November Fiduciary Corner column looks at how fiduciaries can make the difference in reforming target date funds.
View the article at InvestmentNews.com.
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Managing the risk and responsibilities of SRI
Blaine Aikin, Merril Hirsh, Jeanne E. Floyd and Tania S. Sebastian look at how socially-responsible investing and fiduciary responsibility go hand-in-hand.
View the article at Wealth Manager Web.
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Group aims to influence reform
Blaine Aikin's October Fiduciary Corner column introduces the Committee for the Fiduciary Standard and the five fiduciary principles that cannot be compromised in a true fiduciary standard.
View the article at InvestmentNews.com.
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A higher standard
Kristina Fausti looks at the future of regulatory reform and oversight of brokers and advisors under a fiduciary standard for investment advice.
View the article at Financial Advisor magazine.
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Lesson: the best-laid retirement plans melt down
Blaine Aikin is interviewed in this Associated Press article on planning for retirement.
View the article in the Washington Post.
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B/Ds will reap benefits of reform
CEO Blaine Aikin's September Fiduciary Corner Column looks at how many broker-dealers look forward to a fiduciary standard being applied for all investment advice.
View the article at InvestmentNews magazine.
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Don't become a victim of a financial scam
Blaine Aikin was the special gues on The Jim Lange Money Hour on WKQV 1410AM in Pittsburgh. View the blog entry on the show's website. Audio can be found here.
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The process of picking a co-fiduciary
CEO Blaine Aikin's August Fiduciary Corner Column looks at the importance of delegation as a fiduciary duty and how to properly make delegation decisions that will limit the fiduciary's liability.
View the article at InvestmentNews magazine.
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The fiduciary challenge
Director of Legal and Regulatory Affairs Kristina Fausti looks at how the adoption of a fiduciary standard will change the way brokers operate.
View the article at RegisteredRep magazine.
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Confidence games
CEO Blaine Aikin, CEFEX General Manager Carlos Panksep, and AIFA designee Brian Hamburger are interviewed on how to maintain clients' trust in the wake of scandal.
View the article in CFA Magazine. (Article may only be viewed by CFA members, magazine subscribers, or by purchasing access to the article)
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Clark at Large: Reality check
Investment Advisor columnist Bob Clark writes on regulatory reform and praises Director of Legal and Regulatory Affairs Kristina Fausti as a great source of information.
View the article at Investment Advisor magazine.
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It's time to rethink retirement plans
CEO Blaine Aikin's July Fiduciary Corner Column suggests investors would benefit if plan sponsors were responsible for investment decisions.
View the article at investmentnews.com magazine.
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The future of investment advice in America
Listen to the recording of CEO Blaine Aikin's interview on the Gary Allen on Business radio show.
Listen to the recording from KNBR in San Francisco.
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SEC's Aguilar urges fiduciary standard
CEO Blaine Aikin's June Fiduciary Corner Column looks at one proposal for regulatory reform that actually makes sense.
View the article at investmentnews.com magazine.
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Fiduciary trainer says investors are less willing to take risks
Our newest team member, director of legal and regulatory affairs Kristina Fausti, is featured in our hometown paper.
View the article at the Pittsburgh Post-Gazette.
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How a 'universal' fiduciary standard would change how financial advisers do business
CEO Blaine Aikin's May Fiduciary Corner Column looks at the benefits of adopting the authentic fiduciary standard for all investment advice.
View the article at investmentnews.com magazine.
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Coming into focus
An Investment Advisor article on 2009 as the year of financial reform includes coverage of fi360 CEO Blaine Aikin and Vanguard President Jack Bogle's call for a fiduciary standard for investment advice.
View the article at Investment Advisor magazine.
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For fiduciaries, loyalty is everything
CEO Blaine Aikin's April Fiduciary Corner Column looks at the performance and perception problems associated with conflicts of interest.
View the article at investmentnews.com magazine.
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Time to embrace fiduciary standard
CEO Blaine Aikin's March Fiduciary Corner Column looks at the consensus of the need for a fiduciary standard and urges unequivocal support of a full fiduciary standard.
View the article at investmentnews.com magazine.
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The Don Creech Show
COO Rich Lynch is interviewed on AIF designee Don Creech's radio show airing in the Washington/Oregon area.
Go to the recording.
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Don't dance around principles
CEO Blaine Aikin's February Fiduciary Corner Column looks at the Labor department's proposed class exemption for the provision of investment advice.
View the article at investmentnews.com magazine.
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The seeds of the next scandal
Columnist Bob Veres' recent e-column features an interview with fi360 CEO Blaine Aikin and looks at the state of investment regulation today and what it means going forward.
Download the article.
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What we can learn from Madoff
CEO Blaine Aikin's January Fiduciary Corner Column looks at what the Madoff scandal can teach fiduciaries about avoiding that type of investment.
View the article at investmentnews.com magazine.
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Fixing fiduciary failings
CEO Blaine Aikin is profiled by Investment Advisor magazine.
View the article at investmentadvisor.com.
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Give clients the confidence they need
CEO Blaine Aikin's December Fiduciary Corner Column looks at the role of the adviser in keeping clients focused on their long-term goals and not overreacting to short-term turbulence.
View the article at investmentnews.com magazine.
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Investment policy statement scarcity spells opportunities for advisers
Blaine and Andy are both interviewed for this article on the general scarcity of investment policy statements and the lack of adherence to them where they do exist.
View the article at Employee Benefit Adviser.
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The right pieces
Fi360 is rated by advisers to be just below Morningstar and just above Zephyr in terms of favorabile perception of tools used to select or monitor plan investment options
View the article from PLANADVISER magazine.
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Statement of purpose: How to draft and monitor an investment policy statement
Fi360 Tools' Investment Policy Statement Generator is recommended as a go-to source for learning to customize Investment Policy Statements.
View the article at planadviser.com.
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Maintaining standards in unusual times
CEO Blaine Aikin's November Fiduciary Corner Column
View the article at investmentnews.com
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Congress abdicates its fiduciary duty
CEO Blaine Aikin's October Fiduciary Corner Column
View the article at investmentnews.com.
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Can brokers be fiduciaries?
CEO Blaine Aikin's September Fiduciary Corner Column
View the article at investmentnews.com
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First, do no intentional harm
CEO Blaine Aikin's August Fiduciary Corner Column
View the article at investmentnews.com.
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Hawkins declares 2008 as Year of Service
A GuideStone funds press release that includes a citation of their fund family fiduciary ranking.
View this article at guidestone.org
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Help Wanted: What the PPA's fiduciary adviser rule means for advisers
COO Rich Lynch is quoted in PlanAdviser magazine's article about how the Pension Protection Act has affected advisers.
View the article at planadviser.com.
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New Disclosure Regimen
CEO Blaine Aikin writes in Financial Planning magazine about new ERISA 408(b)(2) disclosure requirements. |
Are best practices enough?
CEO Blaine Aikin's newest Fiduciary Corner column focuses on the differences between risk and uncertainty and two new best practices reports from the President's Working Group on Financial Markets.
View the article at InvestmentNews.com.
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John Atkinson: Qualifications needed for advisers
An article from New Zealand about the clarity provided by fi360 and CEFEX for understanding fiduciary obligations. |
A warning light for fiduciaries
CEO Blaine Aikin's newest Fiduciary Corner column focuses on what advisers can do to protect themselves from litigation.
View the article at InvestmentNews.com.
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May 12, 2008
A duty to monitor proxy voting |
Out of Stock? PPA ups the ante on educating workers about 401(k) assets in company stock
Fi360 CEO Blaine Aikin is interviewed in this article on company stock in 401(k) plans.
View the article at Employee Benefit News online.
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April 14, 2008
Paulson's plan forgot the investors |
March 17, 2008
DOL proposes full disclosure plan |
February 18, 2008
Lessons from a French scandal |
February 1, 2008
The SRI fiduciary cop-out (Round 2) |
January 1, 2008
The SRI fiduciary cop-out (Round 1) |
January 21, 2008
Plan sponsors are avoiding a safe harbor |
Shining a light on software
This article from Investment Advisor magazine provides a description of fi360 Tools alongside other industry-leading software for picking and monitoring clients' investments.
View the article at investmentadvisor.com
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Are you certifiable?
Article about the importance of fi360's fiduciary Practices and CEFEX Certification as regulators turn up the heat on the planning industry.
View the article at financial-planning.com
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The New Fiduciaries: LPL and Fiduciary360 educate advisors on retirement consulting in the PPA era.
Article focuses on the partnership between LPL and fi360, and what it means within the changing nature of investment advice.
View the article at financial-planning.com
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December 3, 2007
PPA supports new business models |
November 5, 2007
On being a leader and a fiduciary |
October 8, 2007
Tax changes mean fiduciary issues |
September 17, 2007
Hedge funds present fiduciary hurdles |
September 10, 2007
The computer-driven advice module |
July 23, 2007
QDIAs – The Investment Advisor’s Role, Part 2 |
June 4, 2007
QDIAs – The Investment Advisor’s Role, Part 1 |
May 7, 2007
You Can’t Afford to Turn a “Blind Eye” When Your Client Is a Fiduciary |
April 9, 2007
Ruling acknowledges emergence of an industry. |
March 26, 2007
Fees and expenses: It's about fiduciary responsibility, baby! |
Movers & shakers 2007
Don Trone was recently named one of eight "Movers & shakers" in the financial planning industry by Financial Planning magazine.
View this article at financial-planning.com
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Who are the 401(k) industry's most influential?
Don Trone is named one of the five most influential people in the 401(k) industry by The 401(k) Wire, a list headed by friend of fi360, Fred Reish.
View this article at 401kwire.com
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February 26, 2007
Fiduciary show and tell: What does it take to be one? |
Fiduciary Designations Enhance Planning Career
AIFA designee Jerry and Melissa Sais write about the AIF and AIFA designations for Investopedia.
View this article at investopedia.com
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November 6, 2006
The importance of setting the fiduciary "tone at the top." |
October 9, 2006
Understanding ERISA's safe-harbor requirements |
August 21, 2006
The time may be right for the "fiduciary only" adviser |
AIF named one of Ten Most Wanted designations
Financial Planning magazine has announced that the AIF designation is one of the ten most sought-after professional designations. The AIF is ranked right alongside the CPA, CFA, CIMA, and CFP® designations.
View this article at financial-planning.com
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Don Trone named to IA25 for second straight year
Investment Advisor magazine announced its 2006 Top 25 Most Influential People in the investment advisory industry. For the second straight year, this list includes fi360 CEO Don Trone.
View this article at InvestmentAdvisor.com
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July 25, 2005
Knowing how to do due diligence is crucial |
April 19, 2005
What Starts as Strategy Must Be Translated Into Reality |
March 23, 2005
Fiduciary Practices Associated with Optimizing the Asset Mix |
March 14, 2005
“Everything should be made as simple as possible, but not simpler.” |
February 10, 2005
The Poorly Regulated Profession |
December 13, 2004
“Maginot Mentality” - Why Regulators Often Fail to Protect the Interests of the Public |
July 2003
The Investment Policy Statement
Roles and Responsibilities of the Investment Fiduciary
Reducing the Risk of Collateral Damage
More than a Matter of Trust |
March 2003
P&I Editorial Response |
February 2003
Financial Planning and Fiduciary Responsibility |
January 2003
The Link Between Pension and Investment Reform |
"Corporate Fiduciaries: Are You Liable?" - An interview with Don Trone
Don Trone of the Foundation for Fiduciary Studies provides commentary on the duties of corporate fiduciaries and how their responsibilities
are addressed in the handbook,
Prudent Investment Practices.
Watch the Interview
This interview is an excerpt from FMNOnline,
the online Continuing Professional Education service offered by SmartPros (www.smartpros.com).
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