Articles of Interest

• The SEC's Intensifying Focus on Risk: Implications for the Investment Management Industry (PDF). Patricia C. Foster, Esq., Practical Compliance & Risk Management for the Securities Industry, May-June 2011.
• In a November 2010 letter to clients (PDF), Patricia Foster highlights recent SEC regulatory changes impacting the investment advisor community.
• Corporate Fiduciaries: Duties, Compensation, Regulation and Examination (PDF). An overview of the obligations of corporate fiduciaries as trustees and investment managers, explained by the American Bankers Association for those unfamiliar with bank trust departments and independent trust companies.
• Duties of Trustees and Other Fiduciaries: Will Trustees Set the Bar for the Fiduciary Standard?
  Jan Sackley
  Also available as seen in NSCP Currents, Apr 2010 (PDF) and in Firma Forum, Jun 2010 (PDF)
• Should a Financial Fiduciary Standard Apply to Medical Professionals?
  Jan Sackley, American Chronicle, 28 Sep 2009
• So You Want to Buy Your Dad's Car? What It Means to Be a Fiduciary
  Jan Sackley, American Chronicle, 22 Sep 2009
• What, exactly, does fiduciary really mean?
  Jan Sackley, Investment News, 19 Jul 2009

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