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Fiduciary Links: Is an adviser self-regulator a fait accompli?

Posted by fi360 Team on June 23, 2014

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>>>At a recent CFA Institute conference focused on self-regulation for advisers, the panelists looked past the debate of whether an adviser SRO was the best option, and instead treated it as the inevitable conclusion to the regulatory oversight debate. They started directly with covering how an eventual SRO should operate and how that will affect advisers and their clients.

In his most recent column for InvestmentNews, fi360 CEO Blaine Aikin covers some of what he heard at the event, including the CFA Institute’s report on the 10 characteristics that an effective SRO must demonstrate. Those characteristics are: authority, governance, conflict management, supervision, surveillance, enforcement, regulatory database, market disruption procedures, innovation, and dispute resolution.  You can download the full report from the CFA Institute’s website.

>>>We’d also like to point out that InvestmentNews released their Top 40 Under 40 list of young leaders this week and it includes four of our very own AIF designees:

  • John Salter
  • David Blanchett
  • Katherine Liola
  • Thomas Martin

Congrats to each of them and the rest of the list on leading the way!

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