- Ethical Long-Term Care Planning: Applying the Society's Code. Moeller, Keith O.; Christopherson, David L. // Journal of Financial Service Professionals;Mar2004, Vol. 58 Issue 2, p84
Planning for the financing of long-term care presents financial service professionals with unique ethical challenges. The Society's Code of Professional Responsibility can serve as a useful compass when establishing ethical directions for individual advisers. However, the question of whether to...
- Opinion: financial services/An ethical quandary - we're only human. Brown, Robert M. C. // Charter;Jul2012, Vol. 83 Issue 6, p40
The article presents the author's views on the ethical choices faced by financial planners while offering services to their clients. He comments that by being rhetoric about advisers' and clients' freedom of choice and advertising campaigns, trust cannot be achieved. He remarks that the...
- A Proper Apology: How to be proactive, ethical, empathie, and responsive in the aftermath of a mistake. Ballentine, Roy C.; Grubman, James // Journal of Financial Planning;Feb2014, Vol. 27 Issue 2, p28
The article presents recommendations for financial advisers that are responding to mistakes and making apologies, focusing on ethics and empathy. Topics include communication and honesty in relationships, mistakes in the health care profession, response plans, client relations, and methodologies...
- FCA in crunch inducements discussions. Glenister, Michael // Mortgage Strategy (Online Edition);4/9/2014, p12
The article reports on the discussions between the Financial Conduct Authority (FCA) of Great Britain with providers, distributors and trade bodies about the acceptable corporate hospitality offered to financial advisers under the revised inducements rules.
- 'Quality differential should drive business'. // Money Today;May2011, p14
An interview with chairman of the Financial Planning Standards Board of India (FPSB) Dhirendra Swarup is presented. He emphasizes the need for greater investor education and literacy together with stronger financial intermediation through effective regulations and enforcement. He identifies...
- FPA backs legislation on soft dollar payments. Liondis, George // Money Management;10/14/2004, Vol. 18 Issue 38, p6
Reports on the support of the Financial Planning Association for a proposed legislation on enforce a code of conduct on soft dollar payments in Australia. Offer of alternative terms of remuneration; Requirement for INVESTMENT advisors to comply with the code.
- Ready for Prime Time. McCarthy, Ed // Financial Planning;Sep2005, Vol. 35 Issue 9, p105
Offers tips for financial advisers on gaining regular media exposure. Impact of media exposure in the establishment of credibility; Importance of knowing the audience in the content of the interview; Business ethics and courtesy to be observed during interviews.
- Mailbox. Giliberto, Paul; Wertz, M. Jay; Nersesian, John // Financial Planning;Dec2005, Vol. 35 Issue 12, p17
Several letters to the editor in response to articles in previous issues including "The Stealth Tax" and the "Hazardous Housecalls" in the October 2005 issue are presented.
- Policing Your Practice. Bowen Jr., John J. // Financial Planning;Apr2007, Vol. 37 Issue 4, p35
The author discusses the importance of building an effective compliance system for financial advisors. The author argues that building a successful firm requires compliance with U.S. federal and state rules that have been implemented in the wake of scandals at financial services firms. He...