2005 and Fiduciary Duty - Financial Advisor Source

How the SEC Has Strayed From Its Mission

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SEPTEMBER 28, 2021

It says that the fiduciary duty covering investment advisors would apply to the entire advisor-client engagement, and arise as a matter of law whenever an investor gives an RIA his/her trust and confidence.

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Transcript: Gretchen Morgenson

The Big Picture

JUNE 20, 2023

It had been prevented, had been barred from that before because of this fiduciary duty idea and also because of the opacity of these instruments. And this was back in 2005 or 2006. The Labor Department under Donald Trump did open the door for private equity to get into 401(k)s.

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Financial Advisor Source

How the SEC Has Strayed From Its Mission

Transcript: Gretchen Morgenson

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