Avoiding Lawsuits Based on a Conflicts of Interest
- Benchmarks for a Fiduciary-Level Practice. Bearden, Frank // Advisor Today;Sep2007, Vol. 102 Issue 9, p52
The article offers information on how financial advisors, who serves as fiduciaries, can improve their practice benchmarks to satisfy the best interest of their clients. The author suggests that, financial advisors who operates as fiduciaries should disclose all conflicts of interest as stated...
- CA tells IFAs to put money where their mouth is. Boles, Corey // Money Marketing;5/29/2003, p72
Reports on key policies involved in charging performance-related fees by independent financial advisers for managed funds in Great Britain. Recommendation practices for expensive actively managed funds to clients; Asset allocation processes; Factors influencing fund performance.
- Governance is 'haphazard and badly managed.'. Plummer, John // Third Sector;5/12/2009, p1
The article focuses on a report published by "New Philanthropy Capital," suggesting that Great Britain charity governance is haphazard and badly managed. The report reveals that the 20 largest fundraising charities spend only 0.6p in every pound on governance. Moreover, it stated that nearly...
- Beware investment product fraught with conflict. Decker, Tim // Central Penn Business Journal;11/27/2015, Vol. 31 Issue 49, p11
The author discusses the study "Villas, Castles and Vacations: How Perks and Giveaways Create Conflicts of Interest in the Annuity Industry," by U.S. Senator Elizabeth Warren, exploring how conflicts of interests in the non-cash compensation practices at annuity firms are detriment to investors.
- 2008 TIC Directory. // Trusts & Estates;Oct2008, Vol. 147 Issue 10, p49
A directory for members of the Tenants-in-Common (TIC) Association for the year 2008 is presented.
- Investors Still Cool On Alaska Trusts. Stucker, Hal // National Underwriter / Life & Health Financial Services;8/7/2000, Vol. 104 Issue 32, p9
Reports that Alaska Trusts has been slow to catch on with financial planners and net worth clients. Statement issued by financial planner Ray Chodos of the Wealth Preservation Group LLC; Restrictions of the assets placed in the company; Dilemma of placing assets in the company.
- SMSF trusteeships logical for planners. Taylor, Damon // Money Management;9/22/2011, Vol. 25 Issue 36, p12
The article reports on the belief of WLM Financial director Matthew Walker that self-managed super fund (SMSF) trusteeship signifies a logical extension of financial planners and accountants.
- Flying Blind. Morrissey, Gavin // Financial Planning;Aug2006, Vol. 36 Issue 8, p75
The article discusses the use of a blind trust for a U.S. corporate insiders with company stock. Financial planners would find it challenging to manage the wealth of business executives. Sales should be scheduled within the context of securities regulations. In a blind trust, the trustee has...
- ATO reveals true nature of SMSF trustees. Taylor, Mike // Money Management;11/29/2007, Vol. 21 Issue 45, p8
The article reports on the importance of self-managed super-annuation funds (SMSF) to trustees in Australia. According to the Australian Taxation Office (ATO), aside from the control over investment as the primary reasons for building SMSF, the changes made by the government have encouraged them...