A financial adviser, or specifically a broker ... Certified Financial Planner Board of Standards (CFP Board). "Code of Ethics and Standards of Conduct." ...

The CFP Board's Code of Ethics states that "at all times when providing financial advice to a client, a CFP professional must act as a fiduciary, and therefore, act in the best interests of the ...

The code of conduct applies to employees and agents of the institution. The Financial Aid Office at UMass Lowell also adheres to the Code of Conduct developed by NASFAA's Board of Directors. Subject ...

conduct expected in the Financial Advice Code and the Financial Markets Authority. The fourth number of the course code shows the level of the course. For example, in course 219206, the fourth number ...

Egan, Mark, Gregor Matvos, and Amit Seru. "The Problem of Good Conduct Among Financial Advisers." Journal of Economic Perspectives 38, no. 4 (Fall 2024): 193–210.

The term financial advisor technically doesn't have any ... must follow the CFP Board's Code of Ethics and Standards of Conduct to use the CFP designation, and this code includes acting as a ...

States can now adopt a model rule that will prevent brokers from holding themselves out to the public as "advisors" or ...