This outline was prepared in advance of the CFP Board's Annual Firm Meeting in New York, NY, on Dec. 4, 2009. Ron first reviews the many developments affecting the delivery of financial products and services over the past few decades. Ron then explores the advantages large financial services firms would possess if they embraced the bona fide fiduciary standard of conduct. Attached to the outline are materials which have been previously distributed, on "Understanding Fiduciary Duties." To access this outline in PDF Format, please click here.
Ron provides an uncharacteristically short article designed to educate financial advisors on their fiduciary duties, entitled "I am a Fiduciary Financial Advisor." It can be found in the Nov. 3, 2009, edition of Advisor Perspectives, a weekly newsletter designed for Registered Investment Advisers who provide services to high-net-worth investors. To access the article, click here.
Flu season is upon us, and the 2009 season brings with it the H1N1 "Swine Flu" virus. As a response to the increased concern over the possibility of a Swine Flu pandemic, the Centers for Disease Control has recommended that businesses formulate written plans which explain and address the various issues related to disease prevention. In Joseph Capital Management, LLC's Disease Prevention and Pandemic Flu Plan, Ron and his fellow staff at Joseph Capital Management, LLC, explain infectious diseases, influenza, epidemics and pandemics, and how disease prevention is related to the workplace. In addition, this manual provides suggestions in disease prevention techniques for firms wishing to establish formal written "Disease Prevention" plans.
In mid-2010, publication will occur of a new text - Financial Planners: Fiduciary Duties and Compliance. Writted by Ron A. Rhoades, J.D., CFP®, this text will explore in detail the fiduciary duties of due care, loyalty, and utmost good faith, which financial planners possess to their retail investors. To receive e-mail alerts of additional postings to this site and information on the publication of Ron's book, please send an e-mail to info@fpcompliance.com with "Subscribe" written in the subject line. Thank you.
This web site is utilized as a means of distribution of select materials to policy makers and RIAs / financial planners. In addition, select materials are provided to attendees of recent seminars at which Ron was a speaker.