Frankel Fiduciary Prize Program

Fiduciary Advice at a Crossroads

A program by the Institute for the Fiduciary Standard on the state of fiduciary advice in historic times and the presentation of the 2017 Frankel Fiduciary Prize to Barbara Roper, Director of Investor Protection, Consumer Federation of America. 2016 to 2018 is and will be a transformational time for fiduciary advice. The status of the Department of Labor fiduciary rule is uncertain; as will be an SEC uniform standard – (if put forward). Many states are asserting their rulemaking authority. CFP Board is also crafting new standards. Meanwhile, market forces are creating  more informed and demanding investors. Fiduciary conduct rules and practices by January 2019 may be very different. The question is how. Today’s speakers are among the most respected fiduciary scholars, regulators , advocates and practitioners in the country. Their remarks will offer a preview of what’s to come.   

This event is open to the public. All are invited to attend.

September 27, 2017

Boston University School of Law
765 Commonwealth Avenue
Barristers Hall, 1st Floor

Schedule of Events

1:30 – 2:00 p.m. Registration

2:00 – 2:15 p.m. Welcome & Program Introduction
James Fleming and Knut A. Rostad, Institute for the Fiduciary Standard

2:15 – 2:30 p.m. Brooksley Born, Arnold Porter Kay Scholer (retired partner)

2:30 – 3:15 p.m. A Conversation with Tamar Frankel
Tamar Frankel, BU School of Law
Arthur Laby, Rutgers Law Schoool

3:15 – 3:30 p.m. Break

3:30 – 4:30 p.m. Panel, “2017: A Tipping Point for Regulations, for Investors?”
Phyllis Borzi, Department of Labor (2009-2017)
Barbara Roper, Consumer Federation of America
Cheryl Holland, Abacus Planning Group
Mercer Bullard, The University of Mississippi School of Law
Skip Schweiss (moderator), T D Ameritrade Institutional

4:30 – 5:00 p.m. Frankel Fiduciary Prize award
Deborah DeMott, Duke University School of Law
Phyllis Borzi, Department of Labor (2009-2017)
Mercer Bullard, The University of Mississippi School of Law
Barbara Roper, Consumer Federation of America

5:00 – 6:00 p.m. Reception