White Papers

The SEC's Regulation Best Interest Rule Package
Overview & Commentary

Written by
Blaine Aikin, AIFA®, CFA, CFP®, Executive Chairman
Fi360 and CEFEX

Duane Thompson, AIFA®, Senior Policy Analyst
Fi360

About this paper:

On June 5, 2019, the SEC adopted its four-part regulatory package impacting the standards of conduct governing the behavior of broker-dealers and registered investment advisers (RIAs). All four parts of the package passed by a 3-1 vote of the Commissioners, with Commissioner Robert Jackson dissenting in each case.

In this paper, Blaine and Duane break down each of the four actions taken by the SEC, how each action impacts the industry, and our analysis as fiduciary advocates.

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Fiduciary Conduct and Your Reputation
What's Trust Worth As An Investment Advisor? 

Written by Blaine Aikin, AIFA®, CFA, CFP®, Executive Chairman
Fi360 and CEFEX

About this white paper:

A company’s (or a person’s) reputation is a measure of how others perceive their quality and character. It is the consensus opinion of whether that company can be trusted. Investment advisors must be perceived as trustworthy. 

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Fiduciary Conduct and Your Reputation
What’s Trust Worth As An Investment Steward?

Written by Blaine Aikin, AIFA®, CFA, CFP®, Executive Chairman
Fi360 and CEFEX

About this white paper:

A company’s (or a person’s) reputation is a measure of how others perceive their quality and character. It is the consensus opinion of whether that company can be trusted. Investment stewards must be perceived as trustworthy.

Learn More + Download

Top Quartile Report

Each quarter our Data and Analytics team scrutinizes tens of thousands of investments using the Fi360 Fiduciary Score® to understand their peer percentile ranking. The Fiduciary Score evaluates these investments across a spectrum of nine quantitative data points to determine if it meets a minimum fiduciary standard of care. 

Investment selection and monitoring is an important fiduciary responsibility (Practice 4.1), and the Fi360 Fiduciary Score® was designed to help the marketplace understand if funds are performing well from a fiduciary perspective. 

Q1 2019 Top Quartile Report

Nearly 28,000 investments were assessed and 18.6 percent achieved the highest mark, passing the scrutiny of nine rigorous filters.

Download the Q1 2019 Top Quartile Report

 

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