Financial adviser

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  • Role Of Professionalism In Social Work

    From work experience, I understand that we are accountable for our behaviour and judgements at work. I took data protection and client confidentiality very seriously. I was reliable in terms of punctuality and attendance record and it was rare that I was off sick. I always got my work done in time and to a constant high standard. My understanding of maintaining professional boundaries developed when I witnessed how crossing the professional line affected the life of my ex-colleague who was as a Financial Advisor. As a result of treating her clients as friends, they would constantly call her asking for her help outside of work. This relationship with her clients unavoidably invaded her private life and this affected her objectivity and judgement at work, resulting in excessive effort/premium service being provided to those specific clients and manipulation of the company’s rules including under-charging them for the services provided. This was undeniably in breach of the Financial Services’ practice principles of ‘Treating Customer Fairly’ and our company procedures. As a Social worker, in order to create safe, stable and trustworthy relationships with service users, we should be honest, open and reliable, whilst maintaining clear professional boundaries (Parris, 2012, p.189) and not allow our emotion to cloud our judgment. In view of the above, supervision plays an significant role to support our emotion resilience as well as ongoing monitoring of our work: to…

    Words: 1244 - Pages: 5
  • Dermatologist Responsibilities

    advisor plays a major part of the business therefore it is important to hire someone who is very influential in today’s society. Lawyer - The expectation of the lawyer to play in developing the business is to advise me on all the right protocol I must take in successfully developing the business. They will have to keep me up to date with all the right laws and steps to be taken when creating a beauty business. This to insure that there are no complaints from the consumer, in addition to if for…

    Words: 1934 - Pages: 8
  • Why I Want To Go To Interview Essay

    Financial advisors do many things but their main goal is to figure out ways to manage their client’s money in order to keep them on track to meet their money goals. However, my mom’s job goes much more in depth than that including creating an education savings for the future, determining retirement plans, and putting peoples money into the stock market. Besides the stock market she also puts her clients money into bonds, CDs or certificates of deposits, and annuities. As a Vice President, this…

    Words: 1390 - Pages: 6
  • Dal Fiduciary Rule Analysis

    After Obama ruled in favor of the new Department of Labor (DOL) fiduciary rule, financial planners will no longer have their own interests in earning high-commissions and fees over their clients. The new rule is to protect advisor’s clients by adding a sense of transparency by making sure the advisor is acting within the best interest of the client, by recommending the best investments at the lowest prices. Implementation of the new rule is set out to prevent the $17 billion a year in…

    Words: 2003 - Pages: 9
  • Financial Planning Essay

    QUESTION 1 Regulatory Framework of the Financial Planning Industry 1) “If a financial adviser is to give appropriate advice, they require a good knowledge of Corporate Law.” Discuss. Answer: There are a couple of aspects that require a financial planner to know about corporate law in detail. Firstly, as financial planners are running a business they have a responsibility to follow and comply with the rules and regulation under Corporations act to ensure that the firms are fulfilling its duties…

    Words: 731 - Pages: 3
  • Banco Popolare And Bm Merger Essay

    focus on developing and strengthening the multichannel banking and the digitization of products and services. Moreover, the banks said they will focus on the reinforcement of nonperforming loan management activities through the establishment of a dedicated business unit that will come under the direct remit of the CEO to "maximize efficiency and speed of recoveries as well as of disposals." The new company's shares will be traded on Borsa Italiana's MTA, with the name of the company to be…

    Words: 805 - Pages: 4
  • Business Analysis: Rigoberto Puente

    About the author Rigoberto Puentes is a Certified Financial Planner from the Florida State University (FSU). He is a former member (2014) of the Body of Knowledge of the Financial Planning Standard Board (FPSB), the entity with the mission of establishing Financial Planning as a Global Profession. He founded and chaired Personal Financial Planning at the University of Nueva Esparta in Caracas. Rigoberto has developed his career as Investment Adviser (series 65). He has more than 25 years of…

    Words: 1983 - Pages: 8
  • Critical Analysis Of Inside Job Analysis: Inside Job

    2014PGP432 Inside Job is a commentary on the corruption in the financial system existing in today’s world. Starting from Iceland to USA, the film examines the key financial and political factors behind the financial collapse of 2007-08. The film starts from the political movement behind deregulation of the 1980s, development of trading instruments like derivatives and bundling of loans and mortgages into what was called Collateralized debt obligations (CODs). The film delves into how the…

    Words: 833 - Pages: 4
  • Becoming A Financial Advisor Essay

    How to become a financial advisor? General description of the job A financial advisor assists clients with their financial matters such as finding insurance options, retirement planning, and investment strategies. Financial advisors have a thorough understanding of banking procedures and policies, stock market regulations, and insurance policies. To become a financial advisor, one should enjoy managing money and working directly with clients. A financial advisor is responsible for meeting with…

    Words: 1111 - Pages: 5
  • State Bank Of Pakibi Case Study

    Discuss the functions of State Bank of Pakistan? (10 Marks) INTRODUCTION The state bank of Pakistan performs very important functions for the fiscal and monetary health of the country's financial system. The state bank of Pakistan was establish on 1948 by Quaid-e-Azam Muhammad Ali Jinnah. As Karachi is the financial heart of Pakistan thus the headquarter of State bank of Pakistan is also located in Karachi. FUNCTIONS OF STATE BANK OF PAKISTAN The SBP not only regulates the the banking…

    Words: 958 - Pages: 4
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