Sara Grillo

AUGUST 14, 2023

Legal definition of the fiduciary standard To quote directly from a paper by Attorney Lorna Schnase , two bodies of law form the legal basis for the fiduciary standard: Common law: Under common law principles of agency, an investment adviser, as agent, owes fiduciary duties to its client, as principal.3

Financial Advisor 52

Financial Advisor Fiduciary Duty Insurance Financial Advice 52

Inside Information

SEPTEMBER 28, 2021

The petition notes that the SEC, in response to litigation from the Financial Planning Association back in 2005, had proposed to go further, and require anyone holding themselves out as a “financial planner” or providing “financial planning services,” or delivering a financial plan to their customers, be required to register as an RIA. .

Financial Planner 40

Financial Planner Financial Planning Commission Sales 40

The Big Picture

JULY 4, 2023

Their mainstay financial services practice, which was banking and equities, fell off a cliff. RITHOLTZ: Well, the Wall Street Journal column that I read about you from, it was pre-pandemic, 2019, something like that, you’re talking to Steve Cohen of Point72 and Ken Griffin of Citadel and all of these other giant hedge funds.

Management 148

Management Recruitment Numbers Banking 148