Fiduciary Forensics

Fiduciary responsibility is shared by investment firms, financial advisors, corporate boards and officers of companies, among others.  It is unrelenting and we demand it as the only “right” way of doing business.

How to navigate this online course: Every topic session has a video presentation which is a narrated video slideshow of 5 minutes or less.  The text of the video slideshow is below the video; and there may be some supporting files.

1. Fiduciary Basics

What is a fiduciary? And why is that important, anyway?  View the video presentation, Fiduciary Basics; then look at the website in the Fiduciary Resources, which is a good provider of information about fiduciary issues.  A text of the video presentation is below, if you would like to review.

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The DOL Fiduciary Rule Video Update 08/2017

Fiduciary Resources

Fiduciary Basics

2.  Fiduciary Principles and Process

There are some time-tested standards of fiduciary duties and some very strict rules about breaching those responsibilities.  Here they are.  View the video presentation, Fiduciary Principles and Process; then read the Fiduciary Responsibility article.  A text of the video presentation is below, if you would like to review.

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Fiduciary Responsibility Article

Fiduciary Principles and Process

 

3.  Conflicts of Interest

From boondoggles to excessive fees to deceptive or inadequate disclosure, conflicts abound.  Let’s try to avoid them.  View the video presentation.   A text of the video presentation is  below, if you would like to review.

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Conflicts of Interest

 

4.  The Clients Aren’t Listening

Specifically, Malcolm wasn’t listening.  This true story is the poster child case that defines fiduciary responsibility. View the video presentation, The Clients Aren’t Listening.  A text of the video presentation is below, if you would like to review.

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The Clients Aren’t Listening