Nerd's Eye View

APRIL 7, 2023

Also in industry news this week: FINRA has announced that, on the heels of its first enforcement action under the Reg BI rules, it will be ramping up its examinations of broker-dealers for potential violations (after a long period of relative leniency when firms were still determining how best to comply with the rule) A recent study from Ameriprise (..)

Financial Planner 246

Financial Planner Ethics Financial Advisor Clients 246

Wealth Management

DECEMBER 3, 2024

Beyond screening for suitable stocks and ETFs, the platform also helps a growing community of religious-minded investors "purify" interest-generated investment returns by calculating charitable offsets.

Ethics 101

Ethics Investing Investments 101

The Big Picture

JULY 2, 2023

ProPublica ) • I did Alito’s ethics prep for his confirmation hearing. The find yields a new understanding of the enormous harm of such a transaction. His new excuses are nonsense. Nearly 20 years later, I must ask: What happened? . CNN ) • Nearly half of US honeybee colonies died last year.

Ethics 263

Ethics Recruitment Accounting Consulting 263

Nerd's Eye View

SEPTEMBER 25, 2023

Gradually, CFP Board also raised the ethical standards for CFP professionals, introducing a fiduciary standard on financial planning in 2008 and, in 2020, an expanded fiduciary standard that applies whenever the certificant is giving financial advice.

CFP 246

CFP Financial Planning Planning Certification 246

Abnormal Returns

FEBRUARY 27, 2024

optimalmomentum.com) Is there a 'Protestant retirement ethic'? (wealthmanagement.com) Why biotech stocks are like lottery tickets. alphaarchitect.com) How to trade Bitcoin without trading Bitcoin. klementoninvesting.substack.com)

Ethics 163

Ethics Retirement 163

Wealth Management

APRIL 16, 2024

Avoiding sanctions, malpractice claims, IRS’ costly penalties, the slammer.

Ethics 102

Ethics 102

Abnormal Returns

FEBRUARY 26, 2023

mailchi.mp) On the ethics of holding down two full-time jobs. (newsletter.abnormalreturns.com) Mixed media While more Americans are choosing to work part-time. wsj.com) How generative AI will affect the creative class. slate.com)

Ethics 243

Ethics License Financial Advising Startup 243

Wealth Management

JANUARY 11, 2023

What attorneys can and can’t do.

Ethics 105

Ethics Clients 105

Wealth Management

JULY 16, 2024

Know your stuff, keep up-to-date and do the right thing.

Ethics 99

Ethics 99

Norman Marks

NOVEMBER 15, 2023

While I have challenged the value of and the need for the IIA’s Standard requiring two hours annually of ethics training for every internal auditor, it is possible to have training that is useful and which I would recommend! I challenged the IIA Standard because ethics training for internal auditors that […]

Ethics 49

Ethics Compliance Government 49

Don Connelly & Associates

AUGUST 21, 2023

The reality is that advisors, through no fault of their own, sometimes find themselves in situations where conflicts between ethical principles, client interests, and regulatory requirements can create ethical dilemmas. Here are the most common ethical dilemmas faced by financial advisors.

Ethics 52

Ethics Financial Advisor Clients Risk Tolerance 52

Don Connelly & Associates

AUGUST 21, 2023

The reality is that advisors, through no fault of their own, sometimes find themselves in situations where conflicts between ethical principles, client interests, and regulatory requirements can create ethical dilemmas. Here are the most common ethical dilemmas faced by financial advisors.

Ethics 52

Ethics Financial Advisor Clients Risk Tolerance 52

Wealth Management

AUGUST 22, 2023

When done correctly, joint representation can have many benefits.

Ethics 98

Ethics 98

Nerd's Eye View

JULY 31, 2024

At the core of the examination, though, is a review of the firm's compliance policies and procedures and code of ethics, including not just a copy of the 'paper' compliance manual but also how the practices and controls the firm puts into place ensure it adheres to its compliance program.

Compliance 246

Compliance Ethics Advertising Clients 246

Wealth Management

SEPTEMBER 14, 2022

The direct indexing platform designed to construct customized, values-based portfolios remains one of the last independent firms in its space.

Ethics 98

Ethics Investing Investments Portfolio 98

Wealth Management

AUGUST 22, 2023

ABA Formal Opinion 507 addresses some of these issues.

Ethics 97

Ethics 97

The Big Picture

MAY 21, 2023

New York Times ) • Justice Thomas Ethics Review Questioned by US Court Leader in 2012 : Thomas faced complaints in 2011 over reporting wife’s income Judiciary leadership member objected to lack of information.

Insurance 299

Insurance Healthcare Nonprofit Ethics 299

Nerd's Eye View

OCTOBER 3, 2022

From there, the latest highlights also feature a number of other interesting advisor technology announcements, including: Ethic Investing raises a $50M Series C round as values-based “personalized indexing” through direct indexing tools continues to gain momentum.

Commission 246

Commission Financial Planning Ethics Planning 246

Nerd's Eye View

MAY 31, 2024

House of Representatives and is now being considered in the Senate would increase the number of firms classified as “small entities” and would require the SEC to assess the impact of proposed regulation on this newly enlarged class of investment advisers (which tend to have fewer compliance staff and resources available compared to larger (..)

Financial Planner 238

Financial Planner Ethics Taxes Financial Advisor 238

Advisor Perspectives

JUNE 3, 2024

From potentially brand-damaging ethical risks to regulatory uncertainty, AI poses challenges for investors. But there is a path forward.

Ethics 52

Ethics 52

Abnormal Returns

AUGUST 17, 2024

barrons.com) Pets Just how ethical is pet ownership? (theretirementmanifesto.com) Yoga is more than just exercise. washingtonpost.com) Compare your weight to other Americans. flowingdata.com) Walk more. vox.com) Demand for mini farm animals is on the rise. apnews.com) People are increasingly putting their pets in the wills.

Ethics 264

Ethics Recruitment Pharmaceutical Financial Advising 264

Aleph

DECEMBER 14, 2022

The title of the talk was “The Value of Ethics –The Value of a CFA Charter.” ” The main point of my talk was that the uniqueness of the CFA Charter did not stem from the “Body of Knowledge” imparted in the exams, but rather from the emphasis on ethics. So what made me decide to write this tonight?

Ethics 52

Ethics Insurance Math Investments 52

Wealth Management

SEPTEMBER 9, 2024

Supreme Court justices are allowed to hold individual stocks, but ethics rules deem they should disqualify from cases involving the companies.

Ethics 114

Ethics Portfolio 114

Advisor Perspectives

MAY 7, 2024

Outside Business Activities (OBAs) are more than just side hustles for financial advisors – they’re ethical minefields that have drawn increasing scrutiny from regulatory bodies like FINRA.

Ethics 49

Ethics Compliance Financial Advisor 49

Wealth Management

SEPTEMBER 5, 2023

What might have been a framework to encourage more ethical investing has become a bureaucratic nightmare of box ticking.

Ethics 122

Ethics Investing Investments 122

NAIFA Advisor Today

JUNE 29, 2023

Additional Examples from Our Code of Ethics to Support Our Clients An event that clearly supports the NAIFA commitment to diversity, equity, and inclusion occurs annually and was held in May at the J.W. Marriott, 1331 Pennsylvania Avenue NW in Washington, D.C.

Ethics 52

Ethics Clients Investments Investing 52

Nerd's Eye View

NOVEMBER 7, 2023

And be certain to listen to the end, where Veronica shares how she overcame her early-career feelings that she was too young to serve as a lead advisor, how a commitment to talking about her work with at least 5 people each day for 2 years, from strangers at Target to fellow advisors, helped Veronica to overcome her fears and generate a rising flow (..)

Clients 246

Clients Financial Advisor Ethics Planning 246

Wealth Management

NOVEMBER 13, 2023

Look to legal and ethical ways to reduce tax burdens. The IRS isn’t playing around; neither should your clients.

Ethics 119

Ethics Taxes Clients 119

The Big Picture

DECEMBER 27, 2022

Ellis recalls that “Bogle was a force of nature” who created and honed the firm’s philosophy and culture of strong ethics. He tells how Jack Bogle pivoted from active fund management and sales to indexes, which according to his contract, he was not allowed to “sell” (they could only be bought).

Investing 173

Investing Investments Ethics Sales 173

Envision Wealth Planning

MAY 23, 2022

Ethical financial advisors are on the rise and are now doing things within their businesses with the hope to serve as an example of the right behavior for the rest of the industry to follow. Ethics matter in financial advice! Ethics matter. You’ll have to do your own research to determine if these advisors really are ethical.

Ethics 52

Ethics Financial Advisor Financial Planning Clients 52

Brown Advisory

APRIL 22, 2021

Corporate Engagement Spotlight: Ethical AI Practices ajackson Thu, 04/22/2021 - 11:37 Right now, as you read this, there are computers and network servers all over the world pondering one topic: you. Too often, developers and users are putting AI products and services into the market before anyone starts asking ethical questions.

Ethics 52

Ethics Compliance Government Clients 52

Brown Advisory

APRIL 22, 2021

Corporate Engagement Spotlight: Ethical AI Practices. Ethical AI is a term used throughout this discussion, loosely defined as development and delivery of AI products and services that empower employees, produce fair and just outcomes for stakeholders and generate other positive outcomes for society. Thu, 04/22/2021 - 11:37.

Ethics 52

Ethics Compliance Government Clients 52

Nerd's Eye View

JULY 19, 2023

At a high level, every IAR who is registered in a state requiring CE must complete a total of 12 CE credits each year, comprising 6 credits of Ethics and Professional Responsibility and 6 credits of Products and Practice.

Education 49

Education Investments Investing CFP 49

Sara Grillo

APRIL 21, 2022

So here’s a blog about some things that ethical financial advisors do in the hopes they will serve as an example of right behavior for the rest of the industry to follow. Ethics matter in financial advice! Ethics matter. The following case studies serve as examples of ethical actions taken by financial advisors.

Ethics 52

Ethics Financial Advisor Clients Management 52

Wealth Management

NOVEMBER 9, 2023

The Board’s Disciplinary and Ethics Commission previously released anonymized iterations of its public sanctions, but starting today the Board will make the actual orders available to the public.

CFP 114

CFP Ethics Commission 114

Nerd's Eye View

SEPTEMBER 13, 2022

We also talk about how, while Carolyn was first working in the broker-dealer space, it was the opportunity she received to explore and analyze the newly emerging advisory side of financial services that led her to truly appreciate the benefits of financial planning for not only the client relationship but also the steady revenue streams it created (..)

Financial Advisor 238

Financial Advisor Financial Services Ethics Recruitment 238

Wealth Management

AUGUST 7, 2023

"Just say less" is becoming the new approach of private fund managers.

Ethics 95

Ethics Management 95