Tag: SEC v. Capital Gains
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Fiduciary Papers #6: Should Most Conflicts of Interest in Financial Services Be Avoided Under the “Best Interests” Fiduciary Standard of Conduct?
If a fiduciary investment adviser or financial planner will possess a conflict of interest with a client, must the investment adviser seek to avoid the conflict of interest? When it comes to the receipt of compensation from investment and insurance product manufacturers, the answer is often (if not nearly always) “Yes!” While Not All Conflicts…