As part of the new CFP Board Code of Ethics & Standards of Conduct, CFP professionals’ obligations differ depending on whether they are simply providing financial advice or are engaging in “financial planning.”
Tagged with "CFP"
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Relationships Covered by the CFP Board Code and the SEC’s Reg B-I
Posted on September 1st, 2020 at 3:00 PM
This is the seventh of several posts discussing the similarities and differences of the SEC’s recently-implemented Regulation Best Interest (“Reg. B-I”) and the CFP Board’s Code of Ethics and Standards of Conduct. In this post, we will look at which relationships are covered by the CFP Board Code and Reg. B-I.
CFP Board Compares its Duty of Loyalty to the SEC’s Reg B-I
Posted on August 4th, 2020 at 9:15 AM
This is the third of several posts discussing the similarities and differences of the SEC’s recently-implemented Regulation Best Interest (“Reg. B-I”) and the CFP Board’s Code of Ethics and Standards of Conduct. In this post, we will look at the duty of loyalty required by the CFP Board and Reg B-I.
CFP Exam Postponed until September
Posted on May 4th, 2020 at 5:20 PM
Due to COVID-19, the CFP Certification Exam, which had been set to take place in July, has been postponed until September. The exam is now scheduled for September 22-29. Individuals who were scheduled to take the July exam will receive an email by May 31 with instructions on how to reschedule their testing appointment.
CFP Board Willing to Lose Thousands of CFP’s over New SEC Rule
Posted on July 12th, 2019 at 4:49 PM
The Securities and Exchange Commission (SEC) has recently decided to lower its legal standard of client care for registered investment advisors. However, as of October 1st, the CFP board will proceed with its more demanding standards for client care, which could strip thousands of advisors of their CFP licenses.
The Financial Planning Association is Seeking to Protect the Rights of CFP Professionals Who Use the Term “Certified” in Their Titles
Posted on August 28th, 2018 at 4:53 PM
In an effort to preserve the designation for its planners, the Certified Financial Planner Broad of Standards is attempting to protect the title “certified” by joining the newly formed Professional Certification Coalition. The Professional Certified Coalition works to advance the interests of those who use or rely on professional certification.
CFP Board Plans to Ramp Up Compliance Efforts Ahead of New Ethics Standards
Posted on July 24th, 2018 at 1:47 PM
The Certified Financial Planner Board has unanimously approved its new Code of Ethics and Standards of Conduct. The revision will expand significantly the fiduciary duty requirement imposed on all CFP professionals.
CFP Board to Create Guidelines to Help CFP Professionals Meet Standards
Posted on June 28th, 2018 at 9:01 AM
The Certified Financial Planner Board unanimously has approved its new Code of Ethics and Standards of Conduct. The revision will expand significantly the fiduciary duty requirement imposed on all CFP professionals.
CFP Board Imposes Suspension of Texas Adviser Accused of Fraudulently Diverting Client Funds
Posted on September 13th, 2017 at 10:33 AM
The CFP Board has suspended Houston, Texas native, Lawrence A. DeShetler after the registered investment adviser failed to respond to a CFP show-cause order.
Kimberly Chavers, the new Board Member of the FPA Suncoast Chapter
Posted on October 11th, 2016 at 12:37 PM
Eccleston Law LLC is proud to announce that Kim Chavers is now a Board Member of the FPA Suncoast Chapter.
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