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 Investing 52

International College of Financial Planning

MAY 30, 2023

The finance industry is known for its complexity and competitiveness,where ethics play a pivotal role in determining arofessional’s success and credibility. As a finance student, understanding and practicing ethical behavior is crucial for building a responsible and reputable career. Impact of Ethics on Finance and the Economy.

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Ethics Compliance Education Clients 40

Wealth Management

APRIL 16, 2024

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

Ethics 81

Ethics 81

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)

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Ethics Retirement 157

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.

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Ethics Financial Advisor Financial Planning Clients 52

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.

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Ethics Financial Advisor Clients Management 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

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.

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Ethics Financial Planner Financial Advising Financial Planning 182

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.

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CFP Financial Planning Planning Certification 235

NAIFA Advisor Today

FEBRUARY 23, 2023

NAIFA and the National African American Insurance Association (NAAIA) As NAAIA is a NAIFA advocacy partner , NAIFA members can be proud of the progress of insurance and financial services companies with improved diversity, equity, and inclusion (DEI) efforts.

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Ethics Insurance Financial Services Financial Advisor 52

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 (..)

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Financial Planner Ethics Financial Advisor Clients 210

Wealth Management

AUGUST 22, 2023

When done correctly, joint representation can have many benefits.

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Ethics 86

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.

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Ethics Investing Investments Portfolio 84

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.

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Ethics Recruitment Accounting Consulting 258

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.

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Ethics Taxes Clients 116

Wealth Management

AUGUST 22, 2023

ABA Formal Opinion 507 addresses some of these issues.

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Ethics 83

NAIFA Advisor Today

NOVEMBER 22, 2022

NAIFA’S Hard Hat Winner! In the final two months of 2022, we are happy to recognize one of our members, Roger Sims, CLU, LUTCF , who has received NAIFA’s 2022 Q3 Membership Hard Hat Award.

Ethics 52

Ethics 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.

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CFP Ethics Commission 94

Wealth Management

SEPTEMBER 5, 2023

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

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Ethics Investing Investments 115

Don Connelly & Associates

DECEMBER 11, 2023

Financial advisors caught up in ethical dilemmas, whether intentional or not, must be ready to take corrective action to save the relationship and keep the trust of their clients. But what about when the tables are turned, and the client creates a conflict of interest or ethical dilemma?

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Clients Ethics Financial Advisor 52

Wealth Management

JANUARY 11, 2023

What attorneys can and can’t do.

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Ethics Clients 103

NAIFA Advisor Today

APRIL 8, 2024

Richards, JD, MBA, CLU, CFP, “Ethical and Regulatory Environment Surrounding the Sale of Premium-Financed Indexed Universal Life Insurance,” in March 2023 For more information about the Kenneth Black Jr. Kelly, JD, LLM, and Lewis B. Journal Author Awards, see the Journal Author Award page on the Foundation’s website.

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Financial Services Ethics CFP Education 64

Nerd's Eye View

FEBRUARY 27, 2023

Financial advisors are generally required to abide by ethical standards, such as the duty to act in a client’s best interests when giving financial advice. A forthcoming study by Jeff Camarda et al. in Journal of Financial Regulation, however, concludes the opposite.

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CFP Financial Advisor Ethics Certification 130

Nerd's Eye View

FEBRUARY 27, 2023

Financial advisors are generally required to abide by ethical standards, such as the duty to act in a client’s best interests when giving financial advice. A forthcoming study by Jeff Camarda et al. in Journal of Financial Regulation, however, concludes the opposite.

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CFP Financial Advisor Ethics Certification 130

Wealth Management

AUGUST 7, 2023

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

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Ethics Management 76

The Big Picture

OCTOBER 1, 2023

My Sunday morning look at incompetency, corruption and policy failures: • Inside Sam Bankman-Fried’s Family Bubble : At Stanford Law School, Joseph Bankman and Barbara Fried specialized in ethics and social fairness. He disclosed none of these activities on his annual disclosure forms, an obvious violation of federal ethics law.

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Ethics Medicine Medical Economics 130

Brown Advisory

JUNE 23, 2016

NOW 2016 | Autonomous Systems: Ethics at the Edge of Technology achen Thu, 06/23/2016 - 10:27 The limits to what humans can create seem bound only by the limits of human imagination. Such progress, while exciting, can provoke anxiety and pose ethical challenges. Defense Department.

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Ethics Communication Clients Taxes 52

Brown Advisory

JUNE 23, 2016

NOW 2016 | Autonomous Systems: Ethics at the Edge of Technology. Such progress, while exciting, can provoke anxiety and pose ethical challenges. Such progress, while exciting, can provoke anxiety and pose ethical challenges. Will our behavior and ethics change as we mobilize machines on military missions?

Ethics 52

Ethics Communication Clients Taxes 52

Wealth Management

JULY 19, 2023

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

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Ethics Clients 90

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).

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Investing Investments Ethics Sales 164

SEI

NOVEMBER 7, 2023

Explore streamlined operations, data-driven insights, security enhancements & ethical considerations. Discover AI and automation's power to reshape the financial services industry.

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Ethics Financial Services 52

Wealth Management

AUGUST 22, 2023

Ethical considerations for this modern approach to working.

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Ethics Clients 90

Wealth Management

AUGUST 29, 2022

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

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Financial Planner Ethics Financial Planning Planning 96

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)

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Ethics License Financial Advising Startup 185

Advisor Perspectives

APRIL 10, 2023

Sustainable investing continues to gain in popularity, with investors worldwide frequently attracted not only by ethical concerns but also by the lure of superior returns. Unfortunately, new research focused on global stocks showed that they did not get what they were sold.

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Ethics Investing Investments 72

Don Connelly & Associates

JULY 24, 2023

We’ve discussed many here, including excellent communication skills, outstanding work ethic, uncommon optimism, persistence, and resilience, a hunger for self-improvement, and a passion for helping people achieve their goals, to name a few.

Financial Advisor 52

Financial Advisor Ethics Communication 52