Relevant bibliographies by topics / Fiduciary advisor

Contents

  1. Journal articles
  2. Dissertations / Theses
  3. Books
  4. Book chapters
  5. Reports

Academic literature on the topic 'Fiduciary advisor'

Author: Grafiati
Published: 4 June 2021
Last updated: 28 July 2025

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Journal articles on the topic "Fiduciary advisor"

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Wink, Stephen, Anna Rienhardt, Brett M. Ackerman, and Sean Miller. "SEC approves new municipal advisor fiduciary duty rule." Journal of Investment Compliance 17, no. 2 (2016): 43–49. http://dx.doi.org/10.1108/joic-04-2016-0014.

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Purpose To analyze the Municipal Securities Rulemaking Board’s new rule outlining the standards of conduct and fiduciary duties applicable to municipal advisors. Design/methodology/approach This article contains a summary of new MSRB Rule G-42 and identifies key areas where the final version of MSRB Rule G-42 differs from the initial proposal. Findings New MSRB Rule G-42 represents another significant milestone in the MSRB’s development of a comprehensive regulatory framework for municipal advisors mandated under the Dodd-Frank Wall Street Reform and Consumer Protection Act and imposes signifi
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Lanza, Ernesto. "The municipal advisor regulatory framework – where we are and where to next." Journal of Investment Compliance 18, no. 1 (2017): 53–57. http://dx.doi.org/10.1108/joic-02-2017-0004.

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Purpose To describe the status of municipal advisor rulemaking by the US Securities and Exchange Commission (SEC) and Municipal Securities Rulemaking Board (MSRB), and regulatory compliance approaches, under the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). Design/methodology/approach Examines the posture of the SEC, MSRB and Financial Industry Regulatory Authority (FINRA) upon completion of the MSRB’s core regulatory framework for municipal advisors. Explores threshold issues in determining municipal advisor status, approaches for preparing for and responding to
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Gooding, Gregory, William Regner, Maeve O'Connor, and Gary Kubek. "How sell side advisors can reduce litigation risk in light of Delaware’s Rural/Metro decision." Journal of Investment Compliance 15, no. 2 (2014): 39–42. http://dx.doi.org/10.1108/joic-05-2014-0021.

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Purpose – To explain the implications of a March 2014 Delaware Court of Chancery decision that found RBC Capital Markets liable for damages for aiding and abetting breaches of fiduciary duty by the directors of Rural/Metro Corporation in connection with the company’s 2011 sale to an affiliate of Warburg PIncus. Design/methodology/approach – Explains the court’s findings and decision, offers procedural lessons for sell-side financial advisors, and recommends what sell-side advisors can do to limit exposure to aiding and abetting claims. Findings – The Rural/Metro decision opens the door to addi
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Camarda, Jeffrey. "Relation between financial advisory designations and FINRA misconduct FSR201714." Financial Services Review 26, no. 3 (2023): 271–90. http://dx.doi.org/10.61190/fsr.v26i3.3323.

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Registered representatives have no general fiduciary duty. CFP, ChFC, and CFA designees have higher ethical duties and education requirements. Registrants’ criminal, regulatory, complaint, and other misconduct history is public. This study examines misconduct disclosures of undesignated versus designated Florida securities salespeople, and finds adverse disclosure materially decreases for designees; it incidentally finds misconduct increases with maleness, dual investment advisor/registered representative status, and life insurance sales licensure. This appears to be the first such study of ad
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Pardo M., Eliana Milena. "Description of the transfer process for implementing competency management in a service company." Revista de Investigaciones de UNIAGRARIA 1, no. 1 (2012): 67–76. http://dx.doi.org/10.33133/riu-1-2012-64.

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This paper presents a description of the transferring technology process known as personnel management skills in a fiduciary services enterprise located in Bogota. This includes the methodology, results and influence of the learning process in the organization. The latter emphasizing the transmission, use, assimilation and creation of knowledge. The initial aim of the project was to solve nonconformance found after external audit process recertification Quality Management System (QMS) under ISO 9001:2008, related to the way skills were defined charges and evaluating them for staff at different
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Degeling, Simone, and Jessica Hudson. "Credit Advisers, Consumer Credit and Equitable Fiduciary Obligations." Federal Law Review 47, no. 1 (2019): 64–90. http://dx.doi.org/10.1177/0067205x18816235.

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Consumers use financial intermediaries such as brokers and other credit advisers to navigate complex financial markets and to provide guidance on credit products. In 2017 ASIC reported that ‘[b]rokers … are responsible for arranging … half of all home loans in Australia’ (Australian Securities & Investments Commission, Report 516: Review of Mortgage Broker Remuneration (2017) 8 [18]). The National Consumer Credit Protection Act 2009 (Cth) (‘Credit Regime’) regulates the conduct of such advisers including requiring disclosure of fees and some commissions. The Credit Regime also permits conf
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Sushkova, Olga. "Legal risks of using regulatory technologies in business and professional activities." SHS Web of Conferences 106 (2021): 02013. http://dx.doi.org/10.1051/shsconf/202110602013.

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When using artificial intelligence technology in RegTech or SupTech solutions to prevent, detect and control financial crimes such as money laundering, it is necessary to be aware that due to compliance costs, many online financial firms are prohibited from providing financial advice, especially if they process transactions on behalf of clients or provide p2p investment platforms. RegTech streamlines KYC/CDD processes and therefore has the ability to reduce compliance costs. This, in turn, will allow more firms to enter the market to offer services. The regulatory goal of ensuring market integ
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Rubin, Gary Douglas. "Advisers and the Fiduciary Duty Debate." Business and Society Review 120, no. 4 (2015): 519–48. http://dx.doi.org/10.1111/basr.12073.

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Rosella, Michael R., Vadim Avdeychik, and Justin R. Capozzi. "SEC adopts rules and interpretive guidance designed to enhance and clarify the obligations of financial professionals." Journal of Investment Compliance 20, no. 4 (2019): 35–44. http://dx.doi.org/10.1108/joic-08-2019-0049.

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Purpose This article provides an overview of the US Securities and Exchange Commission’s (SEC) recent approval of a package of rulemakings and interpretations designed to enhance the quality and transparency of investors’ relationships with investment advisers and broker-dealers. Design/Methodology/Approach The article provides legal analysis for and historical context of the requirements of the SEC’s adopted rules, Regulation Best Interest and Form CRS in addition to the two separate interpretations under the Investment Advisers Act of 1940, the Standard of Conduct for Investment Advisers; an
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Cummings, Benjamin, and Michael Finke. "Regulating household financial advice." Journal of Governance and Regulation 1, no. 3 (2012): 50–54. http://dx.doi.org/10.22495/jgr_v1_i3_p6.

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This paper reviews economic theory related to investment advice. This theory explains 1) why financial advisors need to be carefully regulated for the benefit of both the investment advice industry and for consumers, 2) why principles-based regulation (e.g., a fiduciary standard) is more efficient than rules-based regulation, 3) why dual regulation of financial professionals providing investment or insurance advice is inefficient and inequitable policy, and 4) why the application of a universal and uniform fiduciary standard will be difficult to implement
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Dissertations / Theses on the topic "Fiduciary advisor"

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Larsson, Rebecca, and Linnea Månsson. "Understanding the Implications of Sustainability Inclusion : A Case Study of the Role of the Financial Advisor and Sustainability." Thesis, KTH, Industriell ekonomi och organisation (Inst.), 2021. http://urn.kb.se/resolve?urn=urn:nbn:se:kth:diva-300150.

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The role of the financial advisor is subject to fiduciary duty, which means that the advisor always should act in the best interest of the client and has traditionally referred to the financial aspects. Finance is now experiencing a revolution, where the concept of sustainable finance is on the agenda of many actors when the sustainability amendments to MiFID II entered into force, as part of the EU Action Plan on Sustainable Finance. The new regulations will add to the already intensified information load characterizing the financial advisory landscape. Moreover, this new dimension of sustain
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Chambal, Erika Margarida Andrade Brown. "Robo-advisors : desafios no mercado de capitais." Master's thesis, 2019. http://hdl.handle.net/10400.14/30378.

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Disruptivas, esta é a palavra utilizada por muitos para descrever as inovações tecnológicas no mundo financeiro. O termo FinTech compreende uma séria de inovações, entre as quais os robo-advisors. Estes “novos” consultores para investimento estão em franco crescimento e prometem trazer muitas oportunidades e desafios ao mercado de capitais. O nosso objetivo é analisar o robo-advice à luz do enquadramento regulatório existente. Tentaremos também, perceber se é possível que um serviço de consultoria para investimento automatizado cumpra os deveres fiduciários a que está adstrito, enquanto interm
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Swart, Rene Louise. "Fiduciary responsibility and responsible investment : definition, interpretation and implications for the key role players in the pension fund investment chain." Thesis, 2012. http://hdl.handle.net/10500/6220.

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Since their creation in Europe in the seventeenth century, pension funds have grown to become one of the main sources of capital in the world. A number of role players ultimately manage the pension money of members on their behalf. Accordingly, the focus of this study is on the role players involved in the actual investment of pension fund money. For the purposes of the study, the key role players in the pension fund investment chain are identified as pension fund trustees, asset managers and asset consultants. These role players have a specific responsibility in terms of the service that they
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Books on the topic "Fiduciary advisor"

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G, Busse James, Aiken Bennett F, Fiduciary360, and Reish Luftman Reicher & Cohen., eds. Prudent practices for investment advisors: Defining a global fiduciary standard of excellence for investment advisors. Fiduciary360, 2006.

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Clark, Suzanne. Estates and trusts: A guide for fiduciary advisers. Wiley, 1996.

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Ries, William Campbell. Regulation of investment management and fiduciary services. West Group, 1997.

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It, Ace. CTFA Certified Trust and Financial/Fiduciary Advisor: 450+ Exam Practice and Review Questions for CTFA by ABA. Independently Published, 2021.

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Stress-Free Money: Overcome These Seven Obstacles to Find Financial Freedom. Lioncrest Publishing, 2020.

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Stress-Free Money: Overcome These Seven Obstacles to Find Financial Freedom. Lioncrest Publishing, 2020.

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Stress-Free Money: Overcome These Seven Obstacles to Find Financial Freedom. Scribe Media, 2020.

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8

Morrissey, Ryan. Fiduciary: How to Find, Hire, and Establish an Aligned and Trusted Partnership with a Fee-Only Financial Advisor. Boulder Knoll Books, 2024.

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Morrissey, Ryan. Fiduciary: How to Find, Hire, and Establish an Aligned and Trusted Partnership with a Fee-Only Financial Advisor. Boulder Knoll Books, 2024.

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McKay, Doug. First Fiduciary Advisors Workbook 2020. Independently Published, 2020.

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Book chapters on the topic "Fiduciary advisor"

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Milstead, David. "The Fiduciary Rule: Should advisers be required to put clients first?" In Issues in Business Ethics and Corporate Social Responsibility: Selections from SAGE Business Researcher. SAGE Publications, Inc., 2020. http://dx.doi.org/10.4135/9781544397399.n16.

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Saivasan, Rangapriya. "Robo-Advisory and Investor Trust: The Essential Role of Ethical Practices and Fiduciary Responsibility." In The Adoption of Fintech. Productivity Press, 2024. http://dx.doi.org/10.4324/9781032644165-6.

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"The Role of the Fiduciary Manager as Chief Advisor." In Fiduciary Management. John Wiley & Sons, Inc., 2015. http://dx.doi.org/10.1002/9781119202738.ch3.

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Helleringer, Geneviève, and Christina Skinner. "Conflicts of Interest." In Governance of Financial Institutions. Oxford University Press, 2019. http://dx.doi.org/10.1093/law/9780198799979.003.0020.

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Abstract This chapter focuses on conflicts of interest in the retail space. Because of the structure of incentives, conflicts of interest situations regularly arise in the context of retail investment advice. As such, conflicts of interest have been the focal point of regulators' efforts to improve conduct in the retail investment space. In the United States, both the Securities and Exchange Commission (SEC) and the Department of Labor (DOL) have embarked on rulemaking projects to heighten and refine the fiduciary duties that investment advisors owe to retail clients — and, in particular, the
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Rosemary, Langford. "Conflicts of Duties." In Company Directors’ Duties and Conflicts of Interest. Oxford University Press, 2019. http://dx.doi.org/10.1093/oso/9780198813668.003.0005.

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A key facet of the duty to avoid conflicts (the conflicts rule) is the avoidance of unauthorized conflicting duties. This principle applies where a director or other fiduciary faces a conflict between inconsistent duties. In the corporate setting this generally occurs when one person is on the board of two companies with different interests. It could, however, also occur where a director is a partner or a legal or other adviser to the company and thus owes multiple sets of duties. Sections 175(7) and 176(5) of the Companies Act 2006 (UK) specifically include such conflicts. This chapter critic
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Brazier, Margaret, and Mary Lobjoit. "Fiduciary Relationship: An Ethical Approach and a Legal Concept?" In HIV and AIDS. Oxford University PressOxford, 1999. http://dx.doi.org/10.1093/oso/9780198238010.003.0012.

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Abstract The HIV epidemic has graphically illustrated society’s continuing inability to agree on the fundamental nature of the relationship between health professionals and their patients. Traditional notions of paternalism have been eroded and discredited. Respect for the patient’s autonomy is much trumpeted. Yet at the same time many practitioners argue that informed consent is a myth1 and English law largely continues to endorse medical paternalism. Screening for HIV has revealed the contradictions in our response to the debate on patients’ rights and professional responsibilities in a star
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Chivers, David, Ben Shaw, Ceri Bryant, and Chantelle Staynings. "Responding to Unfair Prejudice Proceedings." In The Law of Majority Shareholder Power, 2nd ed. Oxford University PressOxford, 2017. https://doi.org/10.1093/9780198786320.003.0010.

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Abstract This chapter examines how majority shareholders strategically respond to unfair prejudice petitions under section 994 of the Companies Act 2006. It explains that such proceedings may benefit the majority by enabling them to end their association with the minority through court orders requiring share purchases at fair value. The chapter distinguishes between quasi-partnerships, where courts generally reject minority discounts, and non-quasi-partnerships, where they apply discounts unless exceptional circumstances justify otherwise. It advises majority shareholders to minimise legal ris
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Reports on the topic "Fiduciary advisor"

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Barahona, Ricardo. Index fund flows and fund distribution channels. Banco de España, 2025. https://doi.org/10.53479/39443.

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In the United States, investors leave large amounts of money on the table when investing in index funds. I show that even though high fees strongly predict poor performance, investors have little sensitivity to fees. This can be explained by fund intermediation in the retail sector and the legal standard of care that intermediaries have towards their clients. Net inflows to high-fee funds are higher when brokers and financial advisors receive sales commissions from the investment management company. When funds are sold through intermediaries held to higher standard of care, such as those sold
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