Ethics and Conflict Management in Wealth Advice

Overview:
Trust accelerates returns. A documented ethics framework turns intent into protection.

Key Points:

• Required disclosures: revenue sources, placement incentives, and any related-party transactions; publish a plain-language summary each year.
• Best practice: execution and custody separate from distribution; fee-only advisory increasingly preferred by global families.
• India vs world: complaint rate in Indian alternatives 0.08 per 100 investors (2025) vs global 0.05; downward trend after stronger disclosure norms.
• Code of conduct essentials: suitability memo, meeting minutes, and signed risk acknowledgement for every product.
• Monitoring: quarterly review of recommendations vs mandate; exception report to client and trustee.
• Outcome: lower dispute probability, higher client retention (global data shows +12–18 percent retention uplift with codified ethics).

Truvest Capital Insight:
Ethics are not slogans—they are systems that survive market cycles.

Disclaimer:
Educational content only. Not investment advice.