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RIA Code Of Ethics: Important Nuances To Note In Relatively Straightforward Requirements

Nerd's Eye View

All investment advisers are fiduciaries that owe a duty of care and loyalty to their clients, and, in an ideal world, advisory firms and their staff would abide by these requirements without the need for a prescriptive code of ethics.

Ethics 239
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When Are Advisors (Financially) Liable For Negligent Investment Advice? (And Who Pays For It)

Nerd's Eye View

Financial advisors, as professionals whose clients rely on their advice to make financial decisions, are legally and financially responsible for the advice that they give.

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Weekend Reading For Financial Planners (Feb 18-19)

Nerd's Eye View

Enjoy the current installment of “Weekend Reading For Financial Planners” - this week’s edition kicks off with the news that the SEC is proposing to expand the adviser custody rule beyond securities and funds to cover all assets in a client’s portfolio, including private securities, real estate, derivatives, and cryptoassets.

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Weekend Reading For Financial Planners (September 28–September 29)

Nerd's Eye View

Read More.

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Is a Financial Planner Course (CFP) Worth It? A Comprehensive Guide for Aspiring Financial Professionals in India

International College of Financial Planning

This is where competent, ethical, and client-first financial planners step in. Whether it’s investment planning, retirement planning, tax strategy, estate management, insurance planning, or holistic money management, the CFP designation proves that you can deliver advice that is both competent and client-centric.

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How I rocked the world as an hourly financial planner – with Kevin Estes

Sara Grillo

He’s taking the world by storm as an hourly financial planner, not managing any assets just giving out powerful financial planning guidance that clients love. Why he chose to become an hourly planner Kevin noticed that there is usually more time spent in the early years in a client relationship. How does he get new clients?

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Transcript: John Montgomery, Bridgeway Capital Management

The Big Picture

How did that background help when it comes to modeling portfolios or applying those methods of statistical analysis to investing? Tell us about the mutual funds in ETFs you run on behalf of Bridgeways clients. First of all, my, some of my co-portfolio managers will bristle if you refer to us as a factor based firm.