GROUPS BACK UNIFORM FIDUCIARY STANDARD

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GROUPS BACK UNIFORM FIDUCIARY STANDARD

机译：小组退回统一的财务标准

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The Financial Planning Coalition has sent a letter to the Securities and Exchange Commission, accompanied by a petition signed by more than 5,200 financial planners, urging the SEC to apply a uniform fiduciary standard to anyone providing personalized investment advice to retail clients.rnIn its letter, the coalition - which includes the Financial Planning Association, the Certified Financial Planner Board of Standards, and the National Association of Personal Financial Advisors - urged the SEC to use its authority under Section 913 of the Dodd-Frank Wall Street Reform and Consumer Protection Act to establish a strong and uniform fiduciary standard of conduct for broker-dealers and investment advisors that is no less stringent than that under the Investment Advisers Act of 1940.

机译：金融规划联盟（Financial Planning Coalition）已致信美国证券交易委员会（SEC），并附有5,200多位金融规划师签署的请愿书，敦促SEC对向零售客户提供个性化投资建议的任何人均采用统一的信托标准。该联盟-包括金融规划协会，经认证的金融规划师标准委员会和全国个人理财顾问协会-敦促SEC根据《多德-弗兰克华尔街改革和消费者保护法》第913节的规定行使职权为经纪交易商和投资顾问建立严格而统一的信托行为标准，其标准不低于1940年《投资顾问法》所规定的标准。

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《Accounting Technology》 |2011年第8期|p.20|共1页
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GROUPS BACK UNIFORM FIDUCIARY STANDARD

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