Was It--or Wasn't It?

August 2007
Journal of Financial Planning;Aug2007, Vol. 20 Issue 8, p14
Academic Journal
The article poses questions related to professional ethics, some of which arose at the publication's 2007 Financial Planning Association Retreat. At that event financial planner Joel Weiner gave a presentation that included several case studies on ethics. The article asks readers to provide their impressions of them. Additionally, the article posits several other questions. What ethical lapses commonly arise in financial planning? How do planners handle conflicts of interest? Is there any difference between "professional ethics" and "ethics for professionals?" An Internet address is provided at which readers can participate in a forum.


Related Articles

  • Blessed is the code maker. Fielding, Zoe // Money Management;9/1/2005, Vol. 19 Issue 32, p21 

    Reports on the new codes of practice of the Financial Planning Association (FPA) in Australia. Comments of Sarah Brennan, board member of FPA, on the association's code of practice with regard to control adviser remuneration; Coverage, guide and principles of FPA; Strategies of FPA in dealing...

  • Adviser complaints fall, despite tougher rules. Tyson-Chan, Darin // Money Management;9/29/2005, Vol. 19 Issue 36, p1 

    Reports on the decline in the number of complaints against financial planners heard by the Financial Planning Association in Australia. Introduction of a new code of conduct on soft dollar payments and guidelines on the taking of rebates and commissions; Consistency with clients knowing a bit...

  • FPA President Questions Revisions To CFP Standards Of Conduct. Hersch, Warren S. // National Underwriter / Life & Health Financial Services;7/31/2006, Vol. 110 Issue 29, p8 

    The article reports that Financial Planning Association president Daniel Moisand is expressing concerns over the proposed revisions to the Chief Financial Planner (CFP) Board's Standards of Professional Conduct in the U.S. According to Moisand, some provisions of the proposed revisions lessen...

  • 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...

  • Strictly Speaking. Duska, Ronald F. // Journal of Financial Service Professionals;Jan1999, Vol. 53 Issue 1, p22 

    This article presents tips on what a financial planner should do whenever confidentiality issues and conflicts of interest arise in dealing with clients. The code of conduct of the Society for Financial Service Professionals requires that a member shall provide advice and service which are in...

  • Nurse your ethics back to health. McCarty, Steven // Senior Market Advisor;Nov2011, Vol. 12 Issue 11, p74 

    In this article, the author discusses the high ethical ratings for nurses and suggests financial advisors to adopt those standards to their own business. The author suggest striving to avoid conflicts of interest. According to the author, advisors should make it sure that they respect their...

  • Continue the debate. Franchitto, Max // Money Management;2/2/2006, Vol. 20 Issue 3, p10 

    The article comments on the topic involving the issue on conflict of interests in the financial services industry. The author voices out his disappointment on advising clients in light of conflict of interest by financial advisers. He believes the guidelines on conflict of interest only burdens...

  • Joel Weiner on Codes of Ethics, Easy Ethical Lapses, and Those Very Gray Areas. Lee, Shelley A. // Journal of Financial Planning;Aug2007, Vol. 20 Issue 8, p16 

    An interview is presented with Joel Weiner, president and chief executive of Professional Training Services, Inc. He believes that, in general, Certified Financial Planners have a good understanding of their code of ethics. In his view the complexity of modern financial products has introduced...

  • FRA Releases Best Practices for Rules of Conduct. Thompson, Duane // Journal of Financial Planning;Jan/Feb2009 Practice Management, p5 

    The article reports that the Financial Planners Association (FPA) released a document covering best practices for rules of conduct on January 1, 2009. The practices are the work of a task force appointed by former FPA president Mark Johannessen in 2008. The practices are aimed at helping...


Read the Article


Sorry, but this item is not currently available from your library.

Try another library?
Sign out of this library

Other Topics