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Art wealth management course comes with CE credits from CFP Board

November 7, 2018

The Certified Financial Planner Board of Standards will provide three hours of continuing education credit that counts toward CFP certification for a new online art wealth management course. The program, created by New York-based Tang Art Advisory...

FPA overhauls its structure to combat 'dysfunction'

November 5, 2018

The Financial Planning Association is overhauling its organizational structure to fight what its officials view as the unsustainable and ineffective way the trade group of financial planners has been operating. The association is changing the...

SEC panel pushes strengthening Regulation Best Interest, in line with a fiduciary duty

November 1, 2018

The Securities and Exchange Commission's Investor Advisory Committee is pushing to "strengthen and clarify" rules requiring broker-dealers to act in the best interest of investors, potentially sharpening the rules to take the form of a fiduciary...

Why diversity and inclusion efforts are a firm's best investment

October 27, 2018

Having worked with various financial firms in different capacities throughout my career, I've come to recognize two absolute truths about diversity. First, appreciation for the different experiences, perspectives and values that stem from diverse...

CFP Board issues white paper on increasing diversity in financial planning

October 23, 2018

Diversity and inclusion within the professional ranks of the financial planning industry continues to lag behind the U.S. minority population. According to a white paper from the Certified Financial Planner Board of Standards' Center for Financial...

Can investment advisers disclose away all conflicts? Can brokers?

October 16, 2018

With the release of its regulatory package on April 18, the Securities and Exchange Commission drew an important distinction between disclosure obligations for investment advisers versus those for brokers. Even as the greater fiduciary debate...

Financial planning could help advisers retain client assets through a bear market

October 11, 2018

If the current market dip turns into an extended downturn, financial planning could help advisers hold onto clients and assets. According to a new Cerulli Associates report, financial planning taps into deeply emotional and difficult financial...

LeCount Davis celebrated for dedication to adding diversity to financial advice business

October 10, 2018

LeCount R. Davis accepted a lifetime achievement award at InvestmentNews' inaugural Excellence in Diversity & Inclusion awards, which celebrated 26 individuals and firms for their commitment to making the financial advice industry more inclusive....

Ask the Ethicist: Should a CFP file an ethics complaint about an insurance commission?

October 9, 2018

I spoke at a national conference recently and a CFP professional approached me after my presentation. Call him "Q." He wanted to know if I thought it was worthwhile to contact CFP Board about a potential ethical violation by another CFP professional....

FPA splits with CFP Board over state regulation of financial planners

September 28, 2018

A trade group representing thousands of financial planners has split with the organization that grants the financial planning credential over whether the profession should be regulated at the state level. Earlier this week, the Certified Financial...

CFP Board asks advisers how to offer guidance on revised standards

September 27, 2018

With just over one year until the Certified Financial Planner Board of Standards' new code and standards goes into effect, the board is asking for adviser input on what resources would be most helpful to understand and adopt the new rules. Of...

CFP Board opposes state regulation of financial planning process

September 24, 2018

The Certified Financial Planner Board of Standards Inc. announced Monday that it opposes state regulation of planners. The organization is staking out its position to try to preempt potential bills from percolating in statehouses as most legislatures...

The public can be better served without state regulation of planners

September 22, 2018

A profession is built upon the principles of ethics, education, experience and a competency assessment ensuring that someone has the knowledge and skills to work with the public. Professionals who serve the public are also typically held accountable...

Are schools adequately preparing next-gen advisers?

September 1, 2018

Eric Schaefer's client was all ears when he laid out a new financial plan for him. Then the client's eagerness to implement the plan suddenly morphed into dejection. "I literally have no time to do any of this," the client said. Mr. Schaefer,...

Few colleges offer a financial planning program

September 1, 2018

The number of universities with financial planning programs is abysmally low. Only 4.5% of the roughly 2,400 four-year higher-education institutions in the U.S. offer a financial planning degree. Observers say the trickle of new advisers entering...

CFP Board to launch new round of ads to build public awareness of designation

August 28, 2018

The Certified Financial Planner Board of Standards Inc. will launch a new round of national advertising next week to raise public awareness of the credential. The $11.7 million campaign is designed to create demand for investment advice from...

Client divorce splits advisers' fiduciary duty of loyalty

August 22, 2018

When a client couple divorces, their adviser relationship must change too. What was once a singular fiduciary duty of loyalty splits in two. "Success" in these situations requires the adviser to serve the best interests of the separated clients,...

CFP Board encrypting digital certificates with blockchain technology

August 21, 2018

The Certified Financial Planner Board of Standards Inc. will roll out digital certificates later this year that use blockchain technology to verify financial advisers, according to a newsletter from the group. According to the note from Kevin...

The business case for diversity and inclusion: Is there one?

August 18, 2018

Is there a business case for diversity and inclusion? As an African-American female, one might assume my response would be a resounding "Yes!" Let's set this assumption aside for a moment, knowing that assumptions without facts don't hold substance...

The rise of the female financial adviser

August 8, 2018

Our industry has long lamented the small percentage of female advisers. Indeed, the data show that only around 17% of all advisers are women. But has the time (finally!) come for the rise of the female financial adviser? The Tipping Point We...

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