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.
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.
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.
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.
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
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.
As we have discussed in a previous Eccleston Law post, the CFP Board has the authority to conduct an investigation of a CFP professional.
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.
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.
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.
This is the seventh of several posts detailing the CFP Board enforcement process. This post will focus on the CFP Board’s settlement procedure.