Nerd's Eye View

NOVEMBER 20, 2024

One of the best sources of guidance from the Securities and Exchange Commission (SEC) is a 1986 interpretive release that unofficially sets forth a framework for satisfying the fiduciary duty to seek best execution of securities transactions in client accounts. Read More.

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Nerd's Eye View

OCTOBER 25, 2023

There is a general understanding that investment advisers have a fiduciary relationship with their clients – in other words, that they are required to act in the client's best interests. These 3 components in practice make up a core part of the adviser's fiduciary duty to their clients.

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Darrow Wealth Management

NOVEMBER 4, 2024

Other reasons to work with a fiduciary registered investment advisor Legal obligation to act in your best interests: A fiduciary duty isn’t a marketing tactic, it’s a legal obligation and the highest standard of loyalty and care under the law.

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Ron A. Rhodes

MARCH 18, 2023

While the SEC has provided an interpretative release [SEC Release IA-5248, Commission Interpretation Regarding Standard of Conduct for Investment Advisers (July 12, 2019)] regarding the fiduciary duties of investment advisers,…

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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 2010, August 1).

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Brown Advisory

SEPTEMBER 12, 2019

Sustainable Investing: Considerations for Trustees ajackson Thu, 09/12/2019 - 08:49 Sustainable investing. More than 2,350 institutional investors representing over $86 trillion (as of 6/30/2019) have signed the Principles for Responsible Investment (PRI), to demonstrate their commitment to sustainable investing. Mission alignment.

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Brown Advisory

SEPTEMBER 12, 2019

Thu, 09/12/2019 - 08:49. More than 2,350 institutional investors representing over $86 trillion (as of 6/30/2019) have signed the Principles for Responsible Investment (PRI), to demonstrate their commitment to sustainable investing. ESG AND FIDUCIARY RESPONSIBILITY. Sustainable Investing: Considerations for Trustees.

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