Remove 2008 Remove Compliance Remove Ethics
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Transcript: Luis Berruga, Global X ETFs

The Big Picture

Think about the two founders of Global X, Bruno and Jose, they set up Global X in 2008. But when you factor in, you know, legal costs, compliance, portfolio management, trading, there is a lot that goes into launching an ETF. And I’ll give you a little bit of the history of Global X because I think it’s very relevant.

Clients 162
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What We’re Vacillatin’ Be-tweeeeen

The Better Letter

On the other hand,… …I see the evidence as demonstrating that there are many, many exceedingly difficult questions, personal, moral, ethical, religious, economic, political, and otherwise. She was an aggressive attorney with impeccable academic credentials and much experience in compliance. Many are indeed fundamental.

Banking 74
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Should the CFP Board police financial advisor “bad apples”? The debate continues! (Part Two)

Sara Grillo

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
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Transcript: Kathleen McCarthy

The Big Picture

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? 2008 through 2010 was a particularly tough and very formative experience.

Assets 162
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Beyond Compliance: Cultivating a Culture of Ethical Decision-Making for Financial Advisors

Don Connelly & Associates

Its taken nearly two decades for the financial services industry to overcome the massive trust deficit that sprung from the 2008 Financial Crisis. The bad news is that it takes just one ethical lapse, intentional or not, to erase that hard-earned goodwill.

Ethics 52