Displaying 311 results
CFP Board lays out penalties for violations
The CFP Board's new sanction guidelines cover 40 types of misconduct
CFP Board ads to hit NPR airwaves this fall
Public-radio listeners will be encouraged to turn to a certified financial planner for investment guidance when advertisements touting…
CFPs generate substantially higher revenue than other IAs: CFP survey
They also make more money than investment advisers, study shows
CFP Board sets disciplinary guide
CFP will use official "sanction guidelines" as it determines what actions to take against its members for particular board violations.
Finra, planners slug it out over adviser SRO cost
Regulator pegs annual cost at $155M, adviser groups put price at $610M; either way, Barney Frank hates the whole idea
CFP Board to out planners who go bankrupt
Highlighting such filings should help the public make more-informed decisions when choosing a financial planner, group says
Fiduciary advocates urge SEC not to reinvent wheel
Several organizations backing higher standards for retail investment advice are urging the SEC to require brokers to act…
CFP Board hires first director of investigations
In a move that highlights its increasing emphasis on enforcement, the Certified Financial Planner Board of Standards Inc. has hired its first director of investigations.
For CPAs, it’s revenge of the nerds
Make way for the nerds. Certified public accountants may make a good living doing personal tax returns…
CFP Board must not go soft on bankruptcy
GIVEN THAT IT PURPORTS in its mission statement to “benefit the public by granting the CFP certification and…
Practice management should be continuing-education requirement
Several recent industry studies have found that financial advisers spend anywhere from 50% to 70% of their time…
CFP Board to warn planners about declaring bankruptcy
Certified financial planners will soon get a warning from the organization that grants their credentials to beware of…
CFP Board on awareness ads: Message getting through
Survey indicates public profile of certified financial planners on the rise
CFP Board to warn planners about declaring bankruptcy
Filing for protection from creditors could come back to haunt planners; sanctions, revoking of CFP mark possible
CFP Board looks to tighten certification, disciplinary rules for planners
Investment advisers seeking certification as a financial planner would have to demonstrate work experience in a narrower calendar surrounding their examination date, under changes proposed by the Certified Financial Planner Board of Standards Inc. .
Financial planning registers worldwide growth
Financial planning is growing as a profession around the world, according to an organization that sets standards for its practitioners
Financial planning registers worldwide growth
Financial planning is growing as a profession around the world, according to an organization that sets standards for its practitioners.
An SRO for advisers that could give Finra ‘a run for its money’
Washington and New York will be joined by Oxford, Miss., as centers of the investment adviser universe if a group of students from the University of Mississippi law school succeeds in establishing a self-regulatory organization for advisers
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
CFP Board launches awareness campaign with print ad
A multimillion-dollar campaign to encourage investors to use credentialed financial planners to manage their money launches this week with a print advertisement in three business magazines.
