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The Return Of IAR Ethics CE Day And The State Of The (Nerd’s Eye View) Blog

Nerd's Eye View

And to meet the growing demand for the required "Ethics & Professional Responsibility" content in particular, we're also excited to announce the return of our IAR Ethics CE on August 29 , 2024! Along with the expanded CE offerings, we've also been reinvesting heavily into making the Kitces platform easier to use.

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Announcing IAR Ethics CE Day And The State Of The (Nerd’s Eye View) Blog

Nerd's Eye View

has increasingly made financial services products available directly to consumers, financial advisors have focused more and more on the business of financial advice itself.

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Title Protection For (CFP) Financial Planners And The FPA’s Two About-Faces

Nerd's Eye View

At the same time, questions abound as to how the FPA realistically plans to pursue Title Protection, and its noticeable abstention from mentioning the CFP marks anywhere in its discussion of its new advocacy agency, despite the fact that the FPA is the membership association for CFP professionals.

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CFP Misconduct Research (And The Challenge Of Counting How Many Financial Advisors There Really Are)

Nerd's Eye View

Financial advisors are generally required to abide by ethical standards, such as the duty to act in a client’s best interests when giving financial advice. The paper’s authors state that based on their review of publicly available data, CFP certificants had higher levels of advisor-related misconduct than non-CFPs.

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CFP Misconduct Research And The Challenge Of Counting How Many Financial Advisors There Really Are

Nerd's Eye View

Financial advisors are generally required to abide by ethical standards, such as the duty to act in a client’s best interests when giving financial advice. The paper’s authors state that based on their review of publicly available data, CFP certificants had higher levels of advisor-related misconduct than non-CFPs.

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IAR CE: Continuing Education Requirements For Investment Adviser Representatives And How Different States Adopt NASAA’s Model Rule

Nerd's Eye View

CFP certificants and CFA charterholders) have CE requirements to retain their credentials, IARs without such credentials haven’t traditionally had any ongoing CE requirements. While holders of certain credentials (e.g.,

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What stops client complaints from escalating

Million Dollar Round Table (MDRT)

By Antoinette Tuscano, MDRT senior content specialist You hope you never get them, but misunderstandings and client complaints can happen. There’s an important business process, though, that can stop them from escalating into ethics complaints. Dipp Metzger, CFP, MSFS.

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