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In his first Ask the Ethicist column, he set out what he calls the essential truth of ethics: 'We know what is right if we stop to give it some thought.'
A lawsuit that a client filed against her financial adviser reads like a soap opera.
Two planners had a role in arranging a business owner's insurance policy, and one is not happy with how the compensation was handled.
An elderly relative experiencing cognitive decline has accused the adviser of stealing from her.
The CFP Board's revised standards reinforce its requirements limiting the use of the term "fee-only" to situations in which fees are the sole method of compensation.
The lead character in the series 'Ozark' is reinforcing Americans' negative view of advisers.
Solo practitioner wonders if he can still describe his practice as a fee-only if he takes on financial planning work from a friend who earns some commissions.
The revised fiduciary standard will make it simpler to answer the increasingly common client question, 'Are you a fiduciary?'
The adviser overstepped his bounds, and here's why
Accepting a free ride to the Masters golf tournament from an attorney you refer clients to would create an obligation on your part.
The proposal is a worthy effort that needs tweaking, so weigh in during the Jan. 2 to Feb. 2 comment period.
Taking a stand might clear your conscience, but doing so also might involve tough career decisions.
An adviser asks the ethicist about a wealthy biotech CEO referred to him, whom he would like to take on as a client but isn't sure he could adequately serve.
The best way to start is to make sure that both you and your client fully understand the conflict and its ramifications.
The proposed standards enhance the value of certification by establishing clear standards for the delivery of financial advice.
Getting stuck between clients with different goals is confusing and potentially dangerous.
Litigation over these agreements often favors the firm, but there are ways for advisers to protect their businesses.
This month's question comes from an adviser who wants to know if it would be ethical to ask an employee to stop bringing his "emotional support animal" to the office.
Wouldn't it be easier if financial advisers had to wear the logos of all the companies whose products and services they distribute?
There are several ethical breaches in this tale, and not all of them land at the feet of the adviser.
- Alternative Investments
- Bonds / Fixed Income
- Client Prospecting
- Client Servicing
- Defined Benefit Plans
- Defined Contribution Plans
- Health Care
- Individual Retirement Accounts
- Independent Broker-Dealers