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Level I CFA: Ethics R01 Ethics and Trust in the Investment Profession-Lecture 1

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Survey: What high net worth investors want

Since the last time you logged in our privacy statement has been updated. We want to ensure that you are kept up to date with any changes and as such would ask that you take a moment to review the changes. You will not continue to receive KPMG subscriptions until you accept the changes. Similarly, credentials that require rigorous standards and require ongoing education were prized by most clients.

Clients will consider advanced certifications to be more important when evaluating advisors in the future.


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Designations are already important to a subset of the client market. About a third of clients originally looked for advisors that hold certain designations when they evaluated candidates. The research suggests, however, that certifications will grow in importance to many clients.

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More than three-quarters of clients said designations and certifications would be at least somewhat important to them if looking for a new advisor right now. Investment management still matters. Despite industry consternation over whether clients will demand more services from advisors in addition to investment management, this core aspect of the relationship is still vital.

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What are you paying your advisor to do? High net worth clients most frequently see investment management as a primary service to be provided by their advisor. Putting the findings of this study to work, though, calls for more than just sitting for exams and studying. This can be done either when meeting with clients or using your LinkedIn profile as a place to showcase your credentials. Investments are not FDIC-insured, nor are they deposits of or guaranteed by a bank or any other entity, so they may lose value. This content, developed by Capital Group, home of American Funds, should not be used as a primary basis for investment decisions and is not intended to serve as impartial investment or fiduciary advice.

Statements attributed to an individual represent the opinions of that individual as of the date published and do not necessarily reflect the opinions of Capital Group or its affiliates.

KPMG CCO Ethics & Compliance Survey - KPMG United States

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New to this revised edition is a detailed look at how the Fourth King Report on Corporate Governance released in gives guidance on the committee's ethics responsibility and other areas where the Act lacks detail.