Unveiling IWI's Latest Insights on Fiduciary Challenges & Regulatory Changes

Posted by Allison Edmondson, Director of Communications

Nov 6, 2018 3:00:00 PM

Denver, CO — November 6, 2018  — The September/October issue of the Investments & Wealth Institute® Investments & Wealth Monitor focuses on the fiduciary and regulatory challenges facing the investments and wealth management indus­try today.

The past few years have brought many changes to firms and advisors’ fiduciary responsibilities from the 2015 U.S. Department of Labor fiduciary rule, later vacated in March 2018; to the April 2018 U.S. Securities and Exchange Commission version of a fiduciary rule released for comment. The changing landscape of the industry’s regulatory environment requires close examination.
Feature articles and authors include:

  • Where’s Waldo? Finding the Fiduciary in Regulation Best Interest—Duane Thompson, AIFA®

  • The Harmonization Trap: Why Advisors Should Demand Truth-in-Labeling Rather Than a Uniform Fiduciary Standard—Scott MacKillop

  • Will Australia’s New Advisor Competency Standards Be a Road Map for U.S. Regulators?—Michael E. Kitces, MSFS, MTAX, CFP®, CLU, ChFC, RHU, REBC, CASL

  • Fiduciary Update: Using ESG Factors in ERISA Plans—Dan Cassidy, FSA, CFA®

  • Women and Retirement Security—Nevenka Vrdoljak and Anna Rappaport

  • Cruisin’ For A Bruisin’ with TDFS: Five Reasons Why Target-Date Funds Should Be Made Safer—Ronald J. Surz

  • An Advisor Road Map to the Corporate Trustee Industry—Past, Present, and Future—Christopher N. Holtby, CPWA®

  • Mock Exams: Dress Rehearsals for the Real Thing—Ann F. Keitner and Conor I. Anderson

  • Crowdsourcing Organizational Ethics: Why We Need More Self-Governance—Carsten Tams

  • Implications for Advisors: Quantitative Easing to Quantitative Tightening—Bob Rice

Investments & Wealth Institute members receive free access to the Investments & Wealth Monitor and archive, current issues are available on the Investments & Wealth Institute website.
Papers are invited for publishing consideration from academics and qualified practitioners. For more information on submission guidelines visit: Article Guidelines.


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