FRA Releases Best Practices for Rules of Conduct

Thompson, Duane
January 2009
Journal of Financial Planning;Jan/Feb2009 Practice Management, p5
Academic Journal
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 financial planners deal with clients in an ethical manner.


Related Articles

  • Mark Johannessen On His Calling -- and Yours. Lee, Shelley A. // Journal of Financial Planning;Jan2008, Vol. 21 Issue 1, p16 

    An interview Mark E. Johannessen, president of the Financial Planning Association (FPA), is presented. When asked about the FPA's 2008 agenda he states that it is advocacy for the financial planning profession and consumers. He indicates that the purpose of the initiative entitled Co-creating...

  • Achieving a more noble objective. Taylor, Mike // Money Management;8/2/2012, Vol. 26 Issue 29, p2 

    The article offers the author's insights on the noble objective of the Association of Financial Advisers' (AFAs) or the Financial Planning Association's (EPA) Code of Professional Practice and Code of Ethics to lift professionalism and standards under Future of Financial Advice (FOFA) legislation.

  • Johannessen Tapped as President-Elect, Three Members Join Board of Directors. Ballinger, Beau // Journal of Financial Planning;Jan2007 Supplement, p28 

    The article reports that the Financial Planning Association has named financial planner Mark E. Johannessen as president-elect for the year 2007. Michael Busch, Bonnie Hughes, and Bill Moran will join the association's Board of Directors for three-year terms. Johannesen, a managing director of...

  • 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...

  • 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...

  • Talking Point: Destiny Calling.  // Journal of Financial Planning;Jan2008, Vol. 21 Issue 1, p15 

    The article announces that Certified Financial Planner (CFP) Mark Johannessen will lead the Financial Planning Association's (FPA's) board of directors.

  • You deserve a fiduciary standard of care.  // Hudson Valley Business Journal;12/27/2010, Vol. 21 Issue 51, p4 

    The article focuses on the standard of care of fiduciaries. It states that fiduciaries are following the code of ethics and they are acting based on the ethical principles. It mentions that a code of ethics that has seven principles including the integrity and fairness was published by the...

  • FPA QUESTIONS ETHICS CHANGES.  // Practical Accountant;Sep2006, Vol. 39 Issue 9, p14 

    The article reports that the Financial Planning Association has questioned the changes made to the ethics requirements proposed by the U.S. Certified Financial Planner Board of Standards. The association seeks to find answers regarding the elimination of the current practice standard...

  • 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...


Read the Article


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

Try another library?
Sign out of this library

Other Topics