Nerd's Eye View

JUNE 21, 2023

All investment advisers are fiduciaries that owe a duty of care and loyalty to their clients, and, in an ideal world, advisory firms and their staff would abide by these requirements without the need for a prescriptive code of ethics.

Ethics 244

Ethics Fiduciary Duty Compliance Clients 244

International College of Financial Planning

AUGUST 31, 2023

By distributing your investments across different assets, you can take advantage of the divergent impact of prevalent market conditions on these assets. Their fiduciary duty obliges them to always act in the best interests of their clients, minimizing potential conflicts of interest.

Portfolio 52

Portfolio Certified Financial Planner Investing Investments 52

Brown Advisory

APRIL 16, 2018

In other words, the portfolio was structured to use a small portion of funds each year on the nonprofit’s mission—a variable amount for endowments, and usually a required 5% minimum distribution for private foundations. The concept of ethical screening in portfolios is not new—religious institutions have screened their portfolios for years.

Nonprofit 52

Nonprofit Portfolio Distribution Clients 52

Brown Advisory

APRIL 16, 2018

In other words, the portfolio was structured to use a small portion of funds each year on the nonprofit’s mission—a variable amount for endowments, and usually a required 5% minimum distribution for private foundations. The concept of ethical screening in portfolios is not new—religious institutions have screened their portfolios for years.

Nonprofit 52

Nonprofit Portfolio Distribution Clients 52

The Big Picture

JULY 4, 2023

We love, but at the end of the day, They have a fiduciary duty to their LPs to hire the best person. WEINSTEIN: Well, it was better for me in that the weight was relatively evenly distributed. WEINSTEIN: Table stakes, good intellectual horsepower, work ethic, training, and a history of results. RITHOLTZ: Right.

Management 148

Management Recruitment Numbers Banking 148

Sara Grillo

JUNE 12, 2023

It just needs to have more fiduciary orientation to it. SARA GRILLO: So who is the best interest in upon the insurance agent selling the policy or the fiduciary financial advisor that’s helping the client by the policy. So ethically, I think it applies everywhere.

Insurance 59

Insurance Clients Financial Advisor Math 59

Sara Grillo

NOVEMBER 14, 2022

Do advisors breach fiduciary duty when they fail to recommend annuities? Should those with only insurance licenses that allow them to sell annuities and/or life insurance be held to the same “fiduciary standard” as Registered Investment Advisers (RIAs) with the SEC or state regulators?

Insurance 59

Insurance Retirement Financial Advisor License 59