Market Integrity & Advocacy

Monthly Briefing 

We work for you. Standards and Advocacy is dedicated to working for our members and to moving forward with our mission of promoting integrity, ethics, and professionalism for the greater good, which includes amplifying your voices for reform and stability in the investment industry.

To learn more about the projects and issues that the Standards and Advocacy teams are focusing on, read the current issue of our S&A Quarterly Report (PDF).

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How Will Brexit Impact Investment Management?

Brexit—the UK decision to exit the European Union—has important implications for UK and EU investment management firms and their clients. This guide for investment management professionals explores the legal and regulatory considerations and analyzes the possible outcomes.

Read Brexit : What It Means for Investment Management (PDF)

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Final DOL Fiduciary Rule: What it Means for Retirement Savers and Investment Advisers

We’re providing ongoing commentary to our members and the media on the DOL fiduciary rule, an issue we’ve been following since it was proposed in April 2015. Will lawsuits delay the April 2017 implementation? We continue to urge the SEC to formulate its own fiduciary standard.

Read our coverage of fiduciary duty | Watch our video (1 min.) | See our policy brief (PDF) and comment letter (PDF) on best-interests duty

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From Trust to Loyalty: What Investors Want

Our survey, “From Trust to Loyalty: A Global Study of What Investors Want,” is just out and getting quite a media ride. Outlets worldwide are covering the survey include the Bloomberg View (columnist Barry Ritholtz), The Wall Street Journal, The Reformed Broker, and Pensions & Investments.

Read our latest blog post | See the survey findings |  Watch President and CEO Paul Smith’s overview of the survey | Use our prefilled Tweet to share #WhatInvestorsWant

Policy Perspectives

Where we stand on the issues: research, interviews, and briefings

The Standards and Advocacy Team

Kurt Schacht, CFA
“Our diverse membership of professional investors informs our perspectives on global capital markets issues, transcending narrow commercial interests to focus on market integrity.”
— Kurt Schacht, CFA  

Team member profiles

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