Financial Services Industry
Industry: Email Alert RSS FeedThink tank to hold advisers' feet to the fire: center mulls ISO-9000 certification for rules.
Investment News, September, 2002 by Southall, Brooke
An affable man from Pittsburgh is poised to unleash new standards that may at long last make advisers on Wall Street and Main Street accountable to investors.
With tactics not dissimilar to ones used by lawyers prosecuting othersie invulnerable international criminals, Donald B. Trone, director of the Center for Fiduciary Studies, has compiled a set of fiduciary standards for advisers, who may find them difficult to ignore.
What gives the list teeth is that each standard is based on existing statutes from the Uniform Prudent Investors Act, the Uniform Management of Public Employees Retirement Systems Act and the Employee Retirement Income Security Act.
The legal underpinning does more than give trial lawyers a road map to sue errant...
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