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Fiduciary Links: David Swensen is a Popular Source of Inspiration

Posted by Bennett Aikin on June 03, 2013 in Fiduciary Links

>>>On AdvisorOne last week, John Sullivan recapped a session from the FPA 2013 NorCal Conference, titled “Alternative Investing: Opportunities, Pitfalls, and an Assets Manager’s Approach." The session looked at how large endowments have found success in alternatives and the lessons advisors can take from them. Of course, large endowments, such as Yale, enjoy significant advantages based on their size that most advisors simply can’t match. However, the story concludes with the fundamental considerations to alternatives investing that are universal, regardless of size or access: As with any investment, alternatives must have a purpose...

Fiduciary Links: David Swensen is a Popular Source of Inspiration

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Fiduciary Links: Why SEC-DOL "Coordination" isn't Good for Investor Protection

Posted by fi360 Team on May 28, 2013 in

>>>>In his most recent Fiduciary Corner column, fi360 CEO Blaine Aikin addresses the call for greater “coordination” between the SEC and DOL as they each work on fiduciary rules. His conclusion is that the motivation is not to create a more efficient or effective regulatory scheme. Rather, it is part of a broader effort to avoid true fiduciary accountability for transactional brokers and agents who provide personalized advice, as well as for their employers. Just as “harmonization” has become a code word for dilution of the fiduciary standard for the provision of...

Fiduciary Links: Why SEC-DOL

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A Brief History of the Prudent Practices

Posted by Rich Lynch on May 22, 2013 in

In honor of the release of the updated Prudent Practices, fi360 COO Rich Lynch recounts the history and development of the Practices and handbooks, both in the US and abroad.

A Brief History of the Prudent Practices

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Fiduciary Links: Mary Jo White’s Honeymoon Short-lived?

Posted by Duane Thompson on May 20, 2013 in Fiduciary Excellence Fiduciary Links

>>>>New SEC Chairman Mary Jo White’s honeymoon with Congress may be rapidly drawing to a close. Not that it was expected to last forever.  Last week the former Wall Street lawyer, in office for only a month, testified before the House Committee on Financial Services about the need for more resources to examine investment advisers. The SEC’s fiscal year 2014 budget would add 325 IA examiners, or nearly half of all new staff hires at the Commission. About 250 of the examiners would inspect traditional advisers with the remainder focused...

Fiduciary Links: Mary Jo White’s Honeymoon Short-lived?

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Fiduciary Links: Have you considered an advisory council?

Posted by Ben Aikin on May 13, 2013 in

>>>>Advisory councils are not something new to the financial services industry, but an article in InvestmentNews this week highlights why advisors may want to consider creating one.  If you’re willing and able to commit the time and thick-skinned enough to actively solicit constructive criticism, it can certainly pay dividends.  Council members are typically current clients who are encouraged to provide feedback about what they like and, perhaps more importantly, don’t like about you, your organization, and the services you provide.  There are many questions that relate to starting and...

Fiduciary Links: Have you considered an advisory council?

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