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Tagged with "CFP Board"

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CFP Board Enforcement Process: Appeals

Posted on September 14th, 2020 at 3:13 PM
CFP Board Enforcement Process: Appeals

This is the thirteenth of several posts detailing the CFP Board enforcement process. This post will focus on the CFP Board’s procedure for appeals.

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CFP Board Enforcement Process: Resolution of Petitions for Reinstatement Following Order of Suspension of More than One Year

Posted on September 8th, 2020 at 11:06 AM
CFP Board Enforcement Process: Resolution of Petitions for Reinstatement Following Order of Suspension of More than One Year

This is the twelfth of several posts detailing the CFP Board enforcement process. This post will focus on the CFP Board’s procedure regarding resolution of a Petition for Reinstatement following order of suspension of more than one year.

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CFP Board Enforcement Process: Resolution of Petitions for Fitness Determination

Posted on August 31st, 2020 at 12:54 PM
CFP Board Enforcement Process: Resolution of Petitions for Fitness Determination

This is the eleventh of several posts detailing the CFP Board enforcement process. This post will focus on the CFP Board’s procedure regarding resolution of a Petitions for Fitness Determination.

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Recommendations Covered by the CFP Board Code and the SEC’s Reg B-I

Posted on August 25th, 2020 at 1:48 PM
Recommendations Covered by the CFP Board Code and the SEC’s Reg B-I

This is the sixth 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

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CFP Board Enforcement Process: Resolution of Complaints

Posted on August 24th, 2020 at 2:58 PM
CFP Board Enforcement Process: Resolution of Complaints

This is the tenth of several posts detailing the CFP Board enforcement process. This post will focus on the CFP Board’s procedure regarding resolution of complaints.

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CFP Professionals Under Investigation Need Attorney Representation

Posted on August 19th, 2020 at 3:49 PM
CFP Professionals Under Investigation Need Attorney Representation

As we have discussed in a previous Eccleston Law post, the CFP Board has the authority to conduct an investigation of a CFP professional.

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CFP Board Enforcement Process: Sanctions

Posted on August 17th, 2020 at 3:27 PM
CFP Board Enforcement Process: Sanctions

This is the ninth of several posts detailing the CFP Board enforcement process. This post will focus on the CFP Board’s procedure regarding sanctions, post-sanction requirements and reinstatement.

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CFP Board Compares its Conflicts of Interest Rule to the SEC’s Reg B-I

Posted on August 11th, 2020 at 8:29 AM
CFP Board Compares its Conflicts of Interest Rule to the SEC’s Reg B-I

This is the fourth 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 requirements regarding conflicts of interest in the CFP Board Code and Reg B-I.

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CFP Board Enforcement Process: Hearings

Posted on August 10th, 2020 at 12:35 PM
CFP Board Enforcement Process: Hearings

This is the eighth of several posts detailing the CFP Board enforcement process. This post will focus on the CFP Board’s procedure regarding hearings.

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CFP Board Enforcement Process: Settlement Procedure

Posted on August 3rd, 2020 at 4:11 PM
CFP Board Enforcement Process: Settlement Procedure

This is the seventh of several posts detailing the CFP Board enforcement process.  This post will focus on the CFP Board’s settlement procedure.  

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