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Accounting, Finance, SPSS
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Research Paper
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Research paper of Wealth Management advisor

Research Paper Instructions:
Formal paper: cover page, APA formatting, References page (formal paper format: use the assignment instructions as a "guideline" not a template) Research paper (not an analysis paper) Based on your major and chosen profession, identify a national or international Professional Association that provides a code of conduct or code of ethics for your industry. (NOT an employer, NOT a chapter or local/regional organization) You do not have to be a current member - the research is for a professional organization that would benefit you in your chosen career field that offers a Code of Ethics or a Code of Conduct. (Choose another if your first choice does not offer an official code with a link.) Major - Finance Professional career opportunities: Wealth Management advisor Professional association choices: You could choose one of the professional associations below -- or find another that you like - there are several. Financial Planning Association (FPA), or National Association of Personal Financial Advisors (NAPFA), or National Association of Insurance and Financial Advisors (NAIFA), or Association for Financial Professionals (AFP) (or other) Use guideline provided in this link and answer questions, using the following as headings in your formal paper: Profession: Based on your major, what profession are you working toward? Wealth Management Professional Association: Identify your chosen professional association Find a national or international organization that provides a code of conduct or code of ethics for the entire industry - NOT a current or future employer, and NOT a local chapter or state organization. Specialized Training: Educational requirements for your chosen profession, membership requirements for joining the Association, is there a special exam required (such as the CPA exam for Certified Public Accountants for accounting majors)? Code of Ethics: Provide the link to access the code in the body of this section AND the References page, identify the ethical rules for your profession, and summarize the major provisions. Self-Regulation: Identify enforcement process and consequences for unethical behaviors established by your chosen professional association. Client-Focus: What does it mean to serve the interest of others in the context of your chosen profession? Reflection: How has your chosen professional association incorporated the four normative ethics theories studied in this course? What have you learned about being an ethical member of your chosen profession? What challenges have you discovered that might need to be overcome to be an ethical member of your chosen profession? References page: APA formatted
Research Paper Sample Content Preview:
Professional Ethics Assignment Student’s Name Institution Course Number and Name Instructor’s Name Date Professional Ethics Assignment Profession My major is in finance and I am studying to become a wealth management advisor. The professional association I intend to join is the National Association of Insurance and Financial Advisors (NAIFA). The association would be of most benefit to me because it has a strong code of ethics and is committed to promoting the financial security of all Americans (NAIFA, n.d.-a). Professional Association As I seek to become a wealth management advisor, NAIFA is connected significantly to my profession in the sense that it is a home for financial services professionals. The organization has a clear code of ethics that guides the conduct of its members. Specialized Training or Skill NAIFA does not specify the educational requirements necessary to become a member. However, the organization has three categories for associate membership: administrative professionals, industry professionals, and students (NAIFA, n.d.-b). A key aspect to highlight in regards to joining NAIFA is that members are expected to abide by its codes of ethics and by-laws. While NAIFA does not have educational requirements for membership, it has educational programs that can help members kick start and enhance their careers. Therefore, once one becomes a member, they can enroll in the programs offered by the organization to propel their careers. Examples of such programs include the Life Underwriter Training Council Fellow (LUTCF) and the Certification in the Life and Annuity Certified Professional (LACP). For one to attain these designations, they have to undergo specific educational programs and pass exams at the end of the courses. While these programs are not required for one to become a member, they are integral in boosting one's position as an advisor in financial services. Code of Ethics NAIFA has a code of ethics that guides the behavior and practice of its members. The code of ethics seeks to help members protect the assets of their clients and help them attain financial independence, security, and economic freedom. Members of the...
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