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Fake comments hit regulators seeking input on proposed rules

December 28, 2017

Several public comments collected by the Department of Labor that criticize the proposed fiduciary rule are fake, according to an analysis by the Wall Street Journal and Mercury Analytics. Of more than 3,000 comments, WSJ surveyed 345 people,...

Ask the Ethicist: Help the CFP Board improve its revised standards

December 27, 2017

On Dec. 20, the CFP Board released the second draft of its proposed revisions to the Standards of Professional Conduct. The first draft was released during the summer with a 60-day comment period. This latest version is open to comment from...

CFP Board touts revised standards in $80,000 Wall St. Journal ad

December 22, 2017

The Certified Financial Planner Board of Standards Inc. is spending nearly $80,000 to take out a full-page ad in the Wall Street Journal Friday to tout its revised advice standards. The new rules would require all CFPs, including brokers who...

CFP Board modifies details of revised standards but maintains strengthened fiduciary duty

December 20, 2017

The Certified Financial Planner Board of Standards Inc. released today a second round of revisions to its code of ethics and standards of conduct. It maintains higher advice standards for the credential but eases some disclosure requirements...

Eleanor Blayney to retire from CFP Board

November 28, 2017

Long-time women's advocate Eleanor Blayney will step down from her position as Special Advisor on Gender Diversity at the end of the year, the Certified Financial Planner Board announced Tuesday. Although Ms. Blayney plans to retire, she doesn't...

What really deters women from staying in the financial advice profession

November 20, 2017

Over the past few years I've had the pleasure of speaking at a few universities that boast some of the top certified financial planner programs in the country. What always surprises me is that the room is usually split pretty evenly among men...

Adviser recruiting may need new tack for women

November 20, 2017

Independent registered investment advisers may need to rethink how they are recruiting female advisers if they expect to continue growing over the long term. In "2016 U.S. Advisor Metrics," Cerulli Associates reported that women make up 16%...

One place where the women wealth equation doesn't add up

November 20, 2017

The power of the purse is enormous and growing. Women control nearly 60% of the wealth in the United States, represent nearly half of American millionaires and are expected to control two-thirds of the nation's wealth by 2030. The only part...

CFP Board makes changes to proposed code of ethics, will seek more comments

November 15, 2017

The Certified Financial Planner Board of Standards Inc. has made changes to a revised code of ethics and standards for CFPs and will seek further comments before finalizing them, the group's chairman said on Wednesday. Earlier this summer, the...

CFP Board publicly rebukes Camardas over use of 'fee-only' description

October 13, 2017

The Certified Financial Planner Board of Standards Inc. admonished two Florida planners for using a misleading description of their compensation, citing the 2013 incident that led to a court case that the organization won. In its latest announcement...

CFP Board CEO talks strategy and what's important to members

October 6, 2017

Kevin Keller says members want to be known for delivering quality service and upholding fiduciary standards.

The future of financial advice: Inside the 2017 Financial Planning Challenge

October 6, 2017

Sponsored by the CFP Board, Ameriprise Financial and FPA, students from some of the top financial planning colleges nationally descended on the FPA Annual Conference to compete in the 2017 Financial Planning Challenge. Here's an inside look.

CFP Board suspends Tye Williams after Finra bar

September 15, 2017

The Certified Financial Planner Board of Standards has imposed an automatic interim suspension of Tye C. Williams' CFP certification following his consent to an industry bar from Finra. Mr. Williams, who was associated with Next Financial Group...

Focus on competency, not compensation method

September 13, 2017

I have been a financial planner for more than 20 years. During that time I have had an opportunity to work at a variety of firms that operated in different business and compensation models. Currently, I serve as vice president and financial...

How to appeal higher Medicare premiums

September 6, 2017

It's time to prepare higher-income clients for a nasty surprise that awaits some of them this fall. Notices of monthly surcharges involving both Medicare Part B and Part D premiums in 2018 will be sent to affected Medicare enrollees in October....

Opponents of DOL fiduciary rule raise same concerns about CFP Board proposal

August 28, 2017

Opponents of the Labor Department fiduciary rule are leveling the same criticisms they made of that measure on a proposal to strengthen advice standards for certified financial planners, with one trade association asserting the changes could...

CFP Board issues interim suspension of Texas planner accused of diverting nearly $2M of client money

August 25, 2017

The Certified Financial Planner Board of Standards has imposed an automatic interim suspension of Lawrence A. DeShetler's CFP certification after the Houston, Tex., planner and registered investment adviser failed to respond to a show-cause...

Fiduciary advocates press CFP Board for specifics on standards changes

August 21, 2017

Fiduciary advocates are urging the Certified Financial Planner Board of Standards Inc. to clarify how credential holders must avoid or manage conflicts of interest under a proposed reform of the mark's rules. Earlier this summer, the CFP Board...

'Ozark' series presents financial advice business in a negative light

August 2, 2017

Financial advisers who have become frustrated with negative portrayals of the profession from the entertainment industry will not be happy with the Netflix series "Ozark." The 10-episode series, released July 21, features fictional character...

Don't forget: Comment period for CFP Board's new standards ends Aug. 21

July 21, 2017

Editor's note: Dan Candura takes a break from answering adviser questions this month, but will resume doing so in his next column. Last month the CFP Board of Standards Inc. released a proposal to update the Standards of Professional Conduct...

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