Brown Advisory

DECEMBER 5, 2023

Directors and corporate leadership are accountable well beyond mere compliance to address issues of transparency, trust, ethics, diversity and inclusion, and stakeholder engagement. Governance agendas are broadening to address consumer and investor pressures and expectations. Can we all agree on performance?

Fiduciary Duty 52

Fiduciary Duty Government Clients Investing 52

The Big Picture

DECEMBER 6, 2022

But when you factor in, you know, legal costs, compliance, portfolio management, trading, there is a lot that goes into launching an ETF. So when market participants or investors don’t know exactly how to categorize an ETF, they automatically refer to ETF as a thematic ETF. BERRUGA: Yeah. And right now, we have close to 100 ETFs.

Clients 162

Clients Investing Investments Management 162

Sara Grillo

JUNE 12, 2023

BARRY FLAGG OR STEVEN ZEIGER: So the regulation is clearly written towards the insurance agent with the insurance broker, but every fiduciary ethically should demand that the financial services person involved in the insurance, that they follow the tenants of this regulation. So ethically, I think it applies everywhere.

Insurance 59

Insurance Clients Financial Advisor Math 59

Sara Grillo

SEPTEMBER 26, 2022

Wright: Yes, So yes, is the quick answer, the more convoluted answer would be that we should control internally… We’re a fraternity of ethics and competency testing that should be different from the SEC. Salaske: Right, now.

CFP 59

CFP Financial Advisor Financial Planner Ethics 59

Tucker Advisors

AUGUST 9, 2021

The word “fiduciary” refers to any advisors who must legally prioritize their clients’ interests above of their own. When advisors are not fiduciaries, they follow what is called the “suitability” requirement, which is basically an ethical call to follow the same prioritization of interests. The client? We don’t know that yet.

Financial Advisor 52

Financial Advisor License Clients Insurance 52

The Big Picture

DECEMBER 14, 2022

MCCARTHY: I’d back up actually a little bit further in thinking about how did I get there, because I don’t think it was very obvious actually that I would come out of Yale with an ethics, politics and economics degree — RITHOLTZ: Perfect really, right? MCCARTHY: — and end up in M&A on Wall Street.

Assets 162

Assets Investing Investments Portfolio 162

The Big Picture

FEBRUARY 28, 2023

That’s, again, a reference to kind of Wall Street culture. One of the things we haven’t talked about, if you’re appealing more to individual investors, typically, that comes along with regulation and compliance standards and oversight from the government — LAYTON: Yup. RITHOLTZ: Right.

Clients 147

Clients Investing Investments Assets 147

Harness Wealth

JANUARY 17, 2025

From identifying deductions to ensuring compliance, navigating tax complexities can quickly become overwhelming. Find out if they focus on small businesses, startups, equity compensation, or specific industries, and if not, if they might be able to refer you to the firm best suited to meet your needs.

Taxes 52

Taxes Certification Ethics Communication 52

The Better Letter

APRIL 27, 2023

One day, fairly early in the first semester, Professor Paschal called on a woman in the row ahead of me (who I shall kindly refer to – using a pseudonym since she became a prominent government attorney – as “Rhoda Clancy”) and asked her a typically impossible question. Many are indeed fundamental. Who should I marry?

Banking 74

Banking Media Ethics Compliance 74

The Big Picture

JANUARY 14, 2025

Maybe we should do this out from under the compliance regulations of a broker dealer? 00:33:55 [Speaker Changed] And, and the gap refers to the behavior gap, which is the difference between what the fund generates and what the actual investors are getting. And then how much longer was it before? Yeah, please continue.

Management 147

Management Investing Investments Assets 147