code-of-conduct 
Nerd's Eye View
JUNE 21, 2023
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.
Nerd's Eye View
FEBRUARY 27, 2023
Advisors who attain the CFP marks are held to even higher standards, though, with all CFP certificants required to adopt CFP Board’s own more-stringent Code of Ethics and Standards of Conduct. A forthcoming study by Jeff Camarda et al. in Journal of Financial Regulation, however, concludes the opposite.
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Nerd's Eye View
FEBRUARY 27, 2023
Advisors who attain the CFP marks are held to even higher standards, though, with all CFP certificants required to adopt CFP Board’s own more-stringent Code of Ethics and Standards of Conduct. A forthcoming study by Jeff Camarda et al. in Journal of Financial Regulation, however, concludes the opposite.
The Irrelevant Investor
APRIL 8, 2023
Articles Any crisis that damages Americans’ trust in their banks damages all banks (By Jamie Dimon) All of us acquire our code of conduct somewhere in life (By Jared Dillian) It concerns me that it seems like markets, the Fed, and policymakers are operating under the assumption that eventually we’ll get our old economy back (By Allison Schrager) Delegation (..)
Nerd's Eye View
APRIL 20, 2023
For some advisors, the type of clientele they serve may not be concerned about what the advisor wears, while others who work in large corporate settings or with clients who have expectations that their advisors will adhere to a certain dress code will be compelled to dress more formally. Read More.
Nerd's Eye View
JANUARY 17, 2024
ChatGPT's introduction set off a wide-ranging public debate around both the transformative power of AI as well as the potential (and largely unpredictable) threats it may pose. A 3rd prompt reviews annual review meeting transcripts, capturing client quotes from key review areas, which can then be fed to a CRM.
Advisor Perspectives
JULY 17, 2023
On May 16, the CFP Board adopted revised Procedural Rules addressing procedures for investigating alleged misconduct and enforcing its Code of Ethics and Standards of Conduct.
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