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The ethics of making it work

Thursday 20 June, 2024

black and white shot a tunnel and set of stairs

You are a financial advisor under pressure from management to increase sales of a new investment product that offers higher commissions.

You are keen to impress and could 'make it work', but the product is not the best fit for the financial profiles of many of your clients, being either too risky or not in line with their investment goals. 

What should you do?

Photo by Mihail Tregubov on Unsplash

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There are 2 comments for The ethics of making it work.

Re: The ethics of making it work

Thursday 20 June, 2024
by Chris
I consider this a very simple decision; you don't recommend the product.

Re: The ethics of making it work

Thursday 20 June, 2024
by David
As a financial adviser (regardless of the pressure put on you by your management) you have both a legal and moral duty to act in the best interest of the client.

Refer RG175 if in doubt on this.

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