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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...

CFP Board proposal another signal fiduciary is the future

June 24, 2017

The Certified Financial Planner Board of Standards Inc. added its voice to the fiduciary debate last week. In a proposed update to its code of ethics and standards released last week, the board broadened its application of when CFP professionals...

CFP Board's proposal to expand fiduciary duty draws praise, carries risks

June 20, 2017

A proposal to extend fiduciary duty to all certified financial planners, including brokers who hold the mark, garnered praise for the organization that grants the designation, even as planners highlighted the risks involved. On Tuesday, the...

CFPs, including brokers, may have to adhere to a stricter fiduciary duty

June 20, 2017

Certified financial planners, including those working at broker-dealers, would have to adhere to a fiduciary standard at all times under new rules proposed by the organization that grants the designation. Under a new 17-page code of ethics and...

Trial court orders Ameriprise to pay advisory firm $1.5 million

June 15, 2017

Ameriprise Financial and two of its employees must pay advisory firm Hanson McClain Advisors $1.5 million for using client information misappropriated by a former employee to solicit business, a trial court judge in California ruled earlier...

Brokerage firms hunt for fintech in early-stage development

May 26, 2017

While financial advisers find it challenging enough to stay on top of new financial technologies, some firms are dedicating resources to ensure they have a heads-up on the latest fintech innovations coming down the pike. Edward Jones is investing...

Communication is key to robo-advisers' plans to keep their clients on track in a downturn

May 25, 2017

Editor's note: This is part of a series looking at how the advice industry is getting ready for the next market correction. Digital advisers and firms that combine computerized advice with some live help have attracted more than $83 billion...

CFP Board launches program to attract more women planners

May 4, 2017

The CFP Board Center for Financial Planning is creating a pilot program known as the Financial Planning Re-entry Initiative (FPRI) aimed at expanding the pool of female financial planners. Working in partnership with iRelaunch, a firm that develops...

Experts say DOL fiduciary rule's fate, timing uncertain, changes likely

April 24, 2017

A panel of regulatory experts questioned Monday how the fight over the Labor Department's approaching fiduciary rule will play out, alluding to a political landscape in Washington that's in constant flux and a tight deadline for taking action...

Making a case for (and against) delaying the fiduciary rule

April 24, 2017

Should the fiduciary rule be delayed 60 days? Maureen Thompson of the CFP Board and Robert DeChellis of the Allianz Exchange squared off in this heated debate from the Retirement Income Summit.

How a divided Washington will impact investors, advisers

April 5, 2017

Maureen Thompson of the CFP Board has worked in Washington for more than 30 years, and she says it is more divided than ever. Why has compromise dissolved?

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