Wealth Management
JULY 11, 2025
Indeed, Senator Cynthia Lummis of Wyoming is the current champion for what might be termed “retail cryptocurrency reform.” By now, the Revised Uniform Fiduciary Access to Digital Assets Act (2015) is so far behind the changes of the cryptocurrency industry as to be almost quaint. About the Authors Salvador C.
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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Carson Wealth
JANUARY 14, 2023
Financial professionals registered as agents of broker/dealers are required to follow FINRA Regulation Best Interest (REG BI) which requires they act in the best interest of their retail customers at the time a recommendation is made, but they do not have an ongoing obligation to the customer to provide ongoing advice or monitoring of accounts.
Park Place Financial
NOVEMBER 29, 2022
Increases in financial innovation and the advent of the investor class have transformed retail. At Park Place Financial, we observe our fiduciary duty to always act in our client’s best interest, meaning you will receive the utmost transparency whenever you rely on us for financial. Structured. your goals while minimizing risk.
Brown Advisory
DECEMBER 5, 2023
In other words, investors prioritizing strict fiduciary duty could focus on ESG information in an effort to make better investment decisions; if other stakeholders are interested in sustainable development, that’s also a win. But ESG information is just that: information. ESG has often been described as a "movement" in the media.
Good Financial Cents
JANUARY 10, 2023
Robinhood capitalizes on the explosive growth of retail investing by offering commission-free trades while still making a profit off its users. The primary source of revenue for Robinhood is the interest they earn on customer funds held in Robinhood accounts. The Bottom Line – Robinhood App is Safe?
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?
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