Archive - April 9, 2019

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Financial Literacy 101: Investing Comes with Risks
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Disclosures Are Not Sufficient To Fulfill The Fiduciary Duty

Financial Literacy 101: Investing Comes with Risks

In this Dennis the Menace comic, you see Dennis about the break a piggy bank with a hammer and the caption reads, “Sorry, Piggy…But investments come with risks.”  At his young age, Dennis understands that it is not all smooth sailing when you invest. In this case, he has found some reason to literally ‘break the bank.”  He is telling the piggy bank he is sorry but as many adults know, it is the investor who may actually feel some pain.

A MarketWatch Opinion column asks, “ How much investment risk should you take?” The subtitle that says. …

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Disclosures Are Not Sufficient To Fulfill The Fiduciary Duty

Investment News’ Fiduciary Corner had an excellent article by Blaine F. Aikin, executive chairman of fi360, entitled “Can investment advisers disclose away all conflicts?” The entire article is worthy of careful reading as Aikin outlines one of the central challenges to the Securities and Exchange Commission’s failed experiment of relying on disclosures and informed consent to protect consumers in the United States. As Aikin writes:
Disclosures are always necessary but rarely sufficient to fulfill fiduciary obligations. …As important new guidance, the SEC notes that some complex or extensive conflicts may defy adequate disclosure, thereby depriving clients of the
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