The Promise and Prospect of a New Fiduciary Environment
Blaine Aikin, CEO and Kristina Fausti, Director of Legal and Regulatory Affairs
June 02, 2009
The current industry and economic landscape is set to change the regulatory environment as we know it and those changes will directly affect how both service providers and investors function. Topics covered include the changes likely to be seen from legislators and regulators, including the adoption, in some form, of a fiduciary standard of care, how they can get the changes right and how they could fall short, how a change in culture is in the best interests of both the service providers and investors, why FINRA or another Self-Regulatory Organization is the wrong solution for oversight, as well as updates on any relevant developments.
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