Monthly Archives: July 2009

The Committee for the Fiduciary Standard: Five Fundamental Fiduciary Principles

July 29, 2009 The Committee for the Fiduciary Standard (the Committee) advocates enactment of federal law to extend the fiduciary standard to all investment professionals who provide investment advice or who hold themselves out as investment advisors. “The fiduciary standard” … Continue reading

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A Discussion of Some of the Differences Between the Regulatory Requirements of Brokers and RIAs

July 28, 2009 SUMMARY Relatively little discussion has occurred to help policy makers and investors compare the differences and similarities, as currently required in law, between a fiduciary relationship and an arms length relationship. An arms length relationship requires a … Continue reading

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