The correlations of professionalization and compensation sources with the ethical development of personal investment planners

Abstract

Recent controversies concerning personal financial planners, and investment planners in particular, have centered around two issues: competence and ethics. This paper has focused on the ethical development of a sample of investment planners in connection with the correlative roles of professionalization and compensation sources. Certified Financial Planner designees were found to manifest higher ethical development scores than non-Certified Financial Planner designees. Fee-based planners manifested no significantly different ethical development scores than their counterparts. Other demographic variables were also studied. © 1999 Elsevier Science Inc. All rights reserved.

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