Exit this survey

1. Your Firm and Practice

All advisors are welcome to participate. The survey is anonymous, so please be candid with your responses and tell us how you really feel about the important and timely issues presented. There is an optional section at the end of the survey to submit contact information if you are willing to be contacted for follow up as the survey is analyzed—but no information provided here will be attributed to any individual without his or her permission. The information you provide will be used to gauge trends and attitudes about fiduciary topics.

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* 1. Do you have a fiduciary relationship with your clients?

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* 2. Which standard of care does the compliance department of your firm support? (select each that applies)

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* 3. How has your firm changed your practices in preparation for the DOL Fiduciary rule? (Select all that apply)

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* 4. Has your firm introduced new ways of documenting discussions, decisions and actions with clients?

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* 5. Do you believe a uniform fiduciary standard for brokers and advisors that is “no less stringent” than what is currently required of registered investment advisers would help restore investors’ confidence in financial service providers?

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* 6. Do you believe a fiduciary duty for brokers who provide advice would reduce product and service availability for investors?

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* 7. Do you believe it costs investors more to work with fiduciary advisors than brokers when all costs to the investor (not only the advisor’s compensation) are considered?

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* 8. In general, do you believe that advisors who are subject to a fiduciary duty have the fiduciary training and knowledge base to practice under federal and state laws governing fiduciaries?

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* 9. Generally, what do you view as the primary role of disclosures in your practice?

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* 10. Are disclosures alone sufficient to manage conflicts?

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* 11. Would you like to see regulators or Congress prohibit the use of advisor titles that imply a fiduciary relationship exists if the advisor is not already a fiduciary?

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