SEC gives CFP Board chance to dig deeper on complaints
Investment advisers and brokers hoping to become certified financial planners, or those wanting to renew their certificates, now have to disclose details about customer complaints to the CFP Board of Standards — a change in procedure that will give the organization's enforcement arm more muscle
Advisory firms that employ investment adviser and broker dealers hoping to become certified financial planners, or those wanting to renew their certificates, now can disclose details about customer complaints to the CFP Board of Standards without violating the customers' privacy rights -- a change t
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