SEC Fiduciary Duty

"Fund advisers do owe the funds they manage a fiduciary duty, which includes a duty of care and a duty of loyalty. The Commission can always ...

A peer shares a document that can aid an adviser in deciding whether to advise a client to rollover his assets into an adviser-managed IRA

A peer shares a worksheet to use when a client seeks to rollover her 401(k) assets into an adviser-managed IRA

City National’s centered on not disclosing to clients that there were mutual fund investments that didn’t carry 12b-1 fees

It is a long-standing principle that an investment adviser must “disclose any potential conflicts of interest accurately and completely.”

CIRA owes its advisory clients an affirmative duty of utmost good faith, is obligated to provide full and fair disclosure of all material facts, has ...

This form helps with documentation of rollovers

ONIMCO had a conflict of interest when it recommended Sweep Account Options to its clients

'Hundreds of billions of dollars in fees and expenses are standing between investors and businesses'

Nearly half of private fund advisers are trying to sub-contract their way out of their fiduciary duties, a trade association for pension and foundation managers ...