Open Letter to the SEC: Fiduciary Duties Need to Extend to Research

The SEC needs to offer a more concrete interpretation of the Duty of Care, one that focuses on the research upon which investment recommendations are based.  

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A Reminder to the SEC: Disclosure Is Not Enough

As the SEC gets set to propose its advice standard on April 18, we believe it is important to note that disclosure alone is not enough to protect investors.

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Even Without the Law, Fiduciary Rule Awareness Remains

While a recent court ruling could end the Fiduciary Rule as law, it cannot erase the awareness the DoL raised nor can it stop market forces leading the business towards a more ethical place.

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How the Fiduciary Rule Can Make You Money

With full implementation scheduled for July 2019, figuring out how to deal with the fiduciary rule is the top priority for many firms and advisors. Here’s how you turn this regulatory bombshell to your advantage.

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Markets Need a Single, Official Definition of “Fiduciary”

Differing definitions only add to the uncertainty and anxiety surrounding the debate over the Fiduciary Rule. Regulators need to put forward a unified definition of the fiduciary duty so that investors and advisors can have a fully informed debate on the matter.

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Open Letter To The SEC: Disclosure Is Not Enough

The SEC could assuage uncertainty by more clearly outlining its view of how advisors can fulfill the Fiduciary Duty of Care.

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A Primer on How To Define and Fulfill the Fiduciary Duty of Care

Despite the lack of regulatory guidance for fulfillment of the Duty of Care, there is plenty of common-sense guidance from thought leaders. They all agree that research that fulfills the Duty of Care should be comprehensive, objective, transparent, and relevant.

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A Practical Solution To Fulfill The Duty Of Care

Without the Duty of Care, the Duty of Loyalty is nearly worthless. An advisor that tries to act in your best interest, but doesn’t have the skill or diligence to do so can cause just as much harm as a conflicted advisor.

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Open Letter To The Department of Labor And SEC: Markets Deserve Clarification On The Duty Of Care

We welcome the SEC’s request for comment on the fiduciary rule and hope to see both the SEC and DoL work together to refine the fiduciary rule in a way that improves access to high-quality advice for all investors.

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Blind Spot Alert: Fiduciary Duty of Care

We think few advisors will fund much success if they do not embrace fiduciary levels of service. However, we think few in the business are prepared to fulfill the Duty of Care.

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DOL Can’t Hold Back The Fiduciary Tide

After months of delay, the Department of Labor’s fiduciary rule will finally go into effect on June 9. Labor Secretary Alexander Acosta confirmed the rule’s implementation on Monday in a Wall Street Journal op-ed.

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Fiduciary Rule Delayed, But Its Impact Remains

Despite over 92% of the 193,000 comment letters opposing delay, the Department of Labor’s Fiduciary Rule has been officially delayed until June 9. No matter the legalities, investor awareness is higher.

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How To Fulfill The Duty Of Care: Official Letter on DoL’s Website

New Constructs submits the following comments regarding the Department of Labor’s proposed rule entitled Definition of the Term “Fiduciary” – Delay of Applicability Date.

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Webinar: The Fiduciary Duty of Care: Turn Challenge Into Competitive Advantage

On Thursday, March 30, at 4:15pm EST, join David Trainer and WealthManagement.com’s editor-in-chief, David Armstrong, for a webinar on how to turn the new fiduciary rule to your competitive advantage.

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Efforts to Kill The Fiduciary Rule Have Only Strengthened It

Interest in “fiduciary” is at an all time high despite efforts to kill the rule. Is all the push back on the rule having a “Streisand Effect”?

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Fiduciary Duty Can’t Be Killed

Striking the fiduciary rule down could make it, in the words of Obi-Wan Kenobi, “more powerful than you can possibly imagine.”

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“Fiduciary Duty Can’t Be Killed” – WealthManagement Op/Ed

On Wednesday (2/22/17), WealthManagement.com featured our op/ed on why the fiduciary rule can’t be killed and how efforts to stop the rule may only make it stronger.

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Webinar: Solving The Biggest Problem w/ the DOL Fiduciary Rule

Get answers from CEO, David Trainer. He outlines New Constructs’ unique DOL Fiduciary Rule solutions, in our latest webinar.

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DOL Fiduciary Rule Webinar: The Biggest Solution as Featured by Michael Kitces

Join us for a live webinar with CEO David Trainer to learn more about our unique solution and our Open Letter to the DOL.

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Michael Kitces Features Our “Guidelines for Due Diligence”

Michael Kitces (@MichaelKitces), leading voice in the financial advisory industry, recently featured our MarketWatch op/ed in his recommended weekend reading and in a tweet.

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