Wealth Management

APRIL 16, 2024

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

Ethics 256

Ethics 256

Wealth Management

JANUARY 11, 2023

What attorneys can and can’t do.

Ethics 264

Ethics Clients 264

Wealth Management

JULY 16, 2024

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

Ethics 249

Ethics 249

Nerd's Eye View

FEBRUARY 10, 2025

To earn the CFP marks, candidates must fulfill four key requirements: Education (holding a bachelor's degree and completing the required coursework through a CFP Board registered program), Exam (passing the 170-question CFP exam), Experience (gaining hands-on experience providing financial advice to the public), and Ethics (acting as a fiduciary).

CFP 237

CFP Education Ethics Financial Planning 237

Wealth Management

AUGUST 22, 2023

When done correctly, joint representation can have many benefits.

Ethics 245

Ethics 245

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 245

Ethics Investing Investments Portfolio 245

Wealth Management

AUGUST 22, 2023

ABA Formal Opinion 507 addresses some of these issues.

Ethics 244

Ethics 244

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 285

Ethics Portfolio 285

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 306

Ethics Investments Investing 306

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 299

Ethics Taxes Clients 299

Nerd's Eye View

MARCH 6, 2025

In the 159th episode of Kitces & Carl , Michael Kitces and client communication expert Carl Richards discuss how to navigate the ethics and logistics of fee increases for a firm's first clients – especially when the advisor previously promised them their fees would stay the same.

Clients 182

Clients Ethics Financial Advice Budgeting 182

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 285

CFP Ethics Commission 285

Wealth Management

AUGUST 7, 2023

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

Ethics 239

Ethics Management 239

NAIFA Advisor Today

FEBRUARY 6, 2025

He has demonstrated his personal commitment as a lifelong learner and educator and ethical professional. Leadership Award in 2006 to honor members who demonstrate exemplary leadership qualities and have made significant contributions toward fulfilling FSP's core values of relationships, education, and ethics.

Ethics 138

Ethics Retirement Planning Education CFP 138

Wealth Management

AUGUST 22, 2023

Ethical considerations for this modern approach to working.

Ethics 246

Ethics Clients 246

Wealth Management

JULY 19, 2023

A new opinion addresses how attorneys should meet ethical requirements for client confidentiality.

Ethics 246

Ethics Clients 246

Wealth Management

AUGUST 29, 2022

Providing ethical, competent financial planning is an immediate and direct step to help your community improve its financial resilience.

Financial Planner 246

Financial Planner Ethics Financial Planning Planning 246

NAIFA Advisor Today

APRIL 13, 2023

More Examples from Our Code of Ethics to Collaboratively Close the Coverage Gap We may be taken aback when we fully realize that NAIFA is seriously working through LL Global to raise the life insurance coverage gap among professionals and their companies regarding life insurance in our country.

Ethics 98

Ethics Insurance Coverage Insurance Marketing 98

Abnormal Returns

APRIL 5, 2023

timdenning.substack.com) Why you should have a Life Ethic not a Work Ethic. (flowfp.com) Three insights from "More Than Enough: A Brief Guide to the Questions That Arise After Realizing You Have More than You Need" by Mike Piper. humbledollar.com) Things to stop doing to save yourself time including turning off notifications.

Ethics 242

Ethics Financial Planner Financial Advising Financial Planning 242

NAIFA Advisor Today

SEPTEMBER 7, 2022

The answer this year has resulted in 27 NAIFA members who serve Main Street USA by actively promoting financial literacy in their clients’ best interests and following the NAIFA Code of Ethics. You can view the list of these professionals in Advisor Today.

Ethics 96

Ethics Clients 96

Abnormal Returns

AUGUST 5, 2024

tomtunguz.com) Can an AI company actually be run ethically? (sherwood.news) Big Tech is getting creative when it comes to acquisitions. spyglass.org) Where AI can really save a company money. vox.com) Economy Just how freaked out should people be about the July jobs report? optimisticallie.com) Heavy truck sales rose in July.

Ethics 278

Ethics Financial Advising Media Economy 278

Million Dollar Round Table (MDRT)

NOVEMBER 10, 2024

When they see your MDRT affiliation on your website, in your literature or on a plaque hanging in your office, would they know that you met significant production qualifications annually to be part of the association and that you follow a strict code of ethics?

Clients 98

Clients Ethics Education Media 98

Nerd's Eye View

JANUARY 13, 2025

We're also bringing back our popular IAR Ethics CE Day; save the date for Thursday, August 28th, to get all 6 hours of IAR Ethics CE (and cross-qualify the 6 hours for every other type of CE, too!) in one fell swoop, and registration is already open now !

Financial Advice 146

Financial Advice Ethics Financial Planning Education 146

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

NAIFA Advisor Today

JANUARY 6, 2025

Despite the initial shock and challenges of working on straight commission, Tom leaned into his natural work ethic, his extensive network, and his determination to succeed. However, he quickly discovered that the role centered on life insurance, something he hadnt been aware of beforehand.

Financial Services 98

Financial Services Ethics Commission Insurance 98

Wealth Management

NOVEMBER 30, 2022

A long-overdue ethics reform would be a useful final step for outgoing House Speaker Nancy Pelosi.

Ethics 173

Ethics 173

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

Clever Girl Finance

JANUARY 10, 2025

Align your money values with your personal ethics Your personal ethicswhat you believe is meaningful and importantare deeply connected to your money values. By aligning your money values with your ethics, you create a financial plan that reflects who you truly are and what matters most. If you value adventure, save for a dream trip.

Ethics 97

Ethics Budgeting Retirement Accounting 97

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 162

Ethics Retirement 162

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

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

NAIFA Advisor Today

NOVEMBER 7, 2024

With his roots in rural Idaho, he has spent over 50 years in the financial services industry, championing the importance of ethics, education, and advocacy. Cliff has left a lasting legacy mentoring young advisors, demonstrating a deep commitment to the growth and development of professionals in the field.

Ethics 52

Ethics Financial Services Education Clients 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

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

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

Midstream Marketing

OCTOBER 30, 2024

RIAs must understand and follow SEC marketing rules to meet their ethical and legal needs. By regularly exceeding what clients expect, investment advisors maintain high ethical standards. Compliance and Ethics in RIA Marketing RIAs manage their clients’ money. They must follow high ethical standards when promoting themselves.

Investment Advisor 52

Investment Advisor Investing Investments Ethics 52

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