'Fiduciary standard' presentation slideshows

Stephen P. Wilkes, Esq. Livia Q. Aber , Esq.

533 views • 53 slides

The SEC Standard of Care Proposal and Best Interest Regulation: Where Do We Go from Here?

415 views • 41 slides

Regulatory & Enforcement Update 2012

487 views • 36 slides

Why Do You Need To Focus on Fiduciary ?

Why Do You Need To Focus on Fiduciary ?. Presented By: Kimberly J Howard. What is Focus on Fiduciary?. National consumer education initiative by the National Association of Personal Financial Advisors (NAPFA).

369 views • 23 slides

345 views • 19 slides

1. Commissioned

How Does Your Advisor Get Paid?. 1. Commissioned. Financial benefit can only be derived through transactions, creating a bias toward account activity. Unbiased advice is an improbable outcome. Commissioned representatives can receive incentives for selling one investment over another.

144 views • 4 slides