Joel Weiner on Codes of Ethics, Easy Ethical Lapses, and Those Very Gray Areas
- 'Wonderful opportunity' to improve FCA accountablilty. Macdonald, Sam // Money Marketing;10/13/2011, p3
The article reports on the suggestion of Treasury Select Committee Chairman Andrew Tyrie regarding the opportunity of financial services firms to improve Financial Conduct Authority (FCA) accountability and interaction with the industry in Great Britain.
- Minimum standards are not enough, says Cann. Holt, Natalie // Money Marketing;10/13/2011, p21
The article reports on the view of Institute of Financial Planners (IFP) chief executive Nick Cann regarding their requirement for its members to adhere on their code of ethics standards in advising clients in Great Britain.
- Planners wait and see on codes. Taylor, Mike // Money Management;3/28/2013, Vol. 27 Issue 11, p6
The article reports on the results of the survey conducted by Wealth Insights which suggests that many of financial advisers are not so committed in signing up to codes of conduct to avoid the need for opt-in.
- Was It--or Wasn't It? // Journal of Financial Planning;Aug2007, Vol. 20 Issue 8, p14
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...
- 'First step' needs more work on value for money. Selby, Tom // Money Marketing;5/24/2012, p28
The article focuses on the agreement of financial professionals in Great Britain on the need to improve the code of conduct for charges of the National Association of Pension Funds (NAFP) to help employers get value for their money.
- Code of Professional Conduct: confidentiality. // Taxation in Australia;Oct2014, Vol. 49 Issue 4, p193
The article discusses the confidentiality principle in the Code of Professional Conduct, according to a paper released by the Tax Practitioners Board in Australia in August 2014. Topics covered include the extension of the code to tax and financial advisers and a range of actions that the board...
- 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.
- 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...
- SEC Approves New Rules for Adviser Ethics, Breakpoints. Hume, Lynn // Bond Buyer;5/27/2004, Vol. 348 Issue 31893, p5
Reports on the U.S. Securities and Exchange Commission's approval of final rules that would require registered investment advisers to adopt codes of ethics that establish standards of conduct for their employees. Requirement that funds with front-end sales loads disclose more information to...