New Compliance and Liability White Paper

With the new year comes the renewal of the debate over one universal fiduciary standard for those providing investment advice to the public.  What many compliance professionals do not realize is that many jurisdictions already impose a fiduciary standard on investment advisers and stockbrokers alike based upon legislation and/or judicial decisions, the so-called Prudent Investment Adviser Rules.

In “Battle of the Best Interests: Closing Argument in People v. The Financial Services Industry and Congress,” I introduce some of the litigation strategies that I have used to address some of the key issues involved in the fiduciary debate.  Remember, my purpose in posting this blog is to help compliance professionals better protect themselves and the practices they work for.

About jwatkins

I am a securities and ERISA attorney. I am a CFP Board Emeritus™ member and an Accredited Wealth Management Advisor™. I am a 1977 graduate of Georgia State University and a 1981 graduate of the University of Notre Dame Law School. I am the author of "CommonSense InvestSense: The Power of the Informed Investor" and " The 401(k)/403(b) Investment Manual: What Plan Sponsors and Plan Participants REALLY Need To Know. " As a former compliance director, I have extensive experience in evaluating the legal prudence of various types of investments, including mutual funds and annuities. My goal is to combine my legal and compliance experience in order to help educate investors on sound, proven investment strategies that will help them protect their financial security.
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