You are here
THE IMPACT OF CONTINUING EDUCATION MODULES ON THE MORAL OBLIGATIONS AND RESPONSIBILITIES OF FINANCIAL ADVISORS.
| Title: | THE IMPACT OF CONTINUING EDUCATION MODULES ON THE MORAL OBLIGATIONS AND RESPONSIBILITIES OF FINANCIAL ADVISORS. |
 38 views 18 downloads |
|---|---|---|
| Name(s): |
Modell, Sandy, Author Stanlick, Nancy, Committee Chair University of Central Florida, Degree Grantor |
|
| Type of Resource: | text | |
| Date Issued: | 2011 | |
| Publisher: | University of Central Florida | |
| Language(s): | English | |
| Abstract/Description: | Increased life expectancies and a significant reduction in the number of corporate pension plans nationwide have made the prospects of retirement a challenge for many of us. The burden of funding retirement will move from the corporation or government to the individual. Those individuals with limited financial experience will most likely need the guidance of a financial advisor. Can we trust and rely upon them? Following the 2004 late trading scandal and the 2008 financial meltdown, the Financial Industry Regulatory Authority ("FINRA") implemented Continuing Education requirements at the advisor level. The intent was to improve the quality and integrity of advisors' interaction with clients. I have interviewed forty-one advisors at four separate financial services firms to examine the impact of this training on the moral obligations and responsibilities of financial advisors | |
| Identifier: | CFE0003907 (IID), ucf:48715 (fedora) | |
| Note(s): |
2011-08-01 M.A. Graduate Studies, Department of Liberal and Interdisciplinary Studies Masters This record was generated from author submitted information. |
|
| Subject(s): |
Ethics Moral Obligation Moral Responsibility Financial Services Investment |
|
| Persistent Link to This Record: | http://purl.flvc.org/ucf/fd/CFE0003907 | |
| Restrictions on Access: | public | |
| Host Institution: | UCF |
