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CFP Board’s enforcement program needs a shake-up: report
Self-reporting of regulatory issues by advisers has been a clear weakness.
Financial firms say they are making inroads in creating more diverse workforce
Merrill Lynch, Chase Wealth Management tout people of color in training programs.
FPA selects 11 chapters to participate in trial run
OneFPA aimed at boosting member engagement by centralizing administrative functions.
FPA selects 11 chapters to participate in trial run
OneFPA aimed at boosting member engagement by centralizing administrative functions.
CFP Board moving ahead with plan to strengthen enforcement by end of year
In the meantime, the organization is checking backgrounds of CFPs one-by-one as they renew their credentials.
CFP Board moving ahead with plan to strengthen enforcement by end of year
In the meantime, the organization is checking backgrounds of CFPs one-by-one as they renew their credentials.
Leading financial planning organizations agree to promote pro bono work
CFP Board, FPA, Foundation for Financial Planning and NAPFA agree on steps that will establish pro bono financial planning as a critical element of the profession.
From those who set the standards, much is expected
The CFP Board should be commended for taking action.
CFP Board defends its enforcement program
The group disagrees with some of the Wall Street Journal's criticisms, but also notes steps it has taken to improve its disclosures.
CFP Board’s effort to strengthen enforcement could sharpen teeth of fiduciary duty
But overall effectiveness of new advice standard still likely to depend largely on honor system.
CFP Board checks certificants against Finra, SEC databases in wake of WSJ analysis
Organization says it will no longer rely on self-reporting of disciplinary backgrounds and is creating a task force to reform its enforcement practices.
CFP Board omits thousands of regulatory, criminal problems of its certificants on consumer site: WSJ
Board to react Tuesday to article analyzing 72,000 CFP profiles on LetsMakeAPlan.org.
CFP Board postpones enforcement of its revised fiduciary standard
Board's new Code of Ethics and Standards to be enforced next June, in line with the SEC's Reg BI
CFP Board to announce possible delay of new fiduciary standard
Organization's CEO confirms meeting with Edward Jones, says broker-dealer still considering how to move forward.
CFP Board may make decision this week on delaying enforcement of fiduciary standard
Trade groups asking for delays or softer versions of the new code for CFP holders.
Financial industry group asks CFP Board to back off if reps comply with Reg BI
CFP Board CEO Keller touts standard but indicates possible delay in its enforcement.
Forget the SEC advice rule — broker-dealers more concerned with CFP Board expanded fiduciary standard
CFP Board's updated code of ethics and standards goes live in October.
Jeopardy champion James Holzhauer squares off against aspiring financial planner. Guess what happened?
Monica Foy said playing the game in person is a lot different than playing at home, where you can just 'blurt out the answer.'
Retirement bill would allow tax-free financial planning
Adviser advocates are grateful for attention to the matter, but say the provision needs to be clarified.
CFP Board’s women mentoring program falls short of some expectations
Critics say the program lacks structure and is too narrowly focused on passing the CFP exam.
