Tagged with "CFP Board"

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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CFP Board Compares its Duty of Care to the SEC’s Reg B-I

Posted on July 30th, 2020 at 3:40 PM
CFP Board Compares its Duty of Care to the SEC’s Reg B-I

This is the second 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. Previously, we discussed the difference in the standard of conduct required by the CFP Board code and Reg B-I. In this post, we will look at the duty of care required by the CFP Board and Reg B-I.

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CFP Board Enforcement Process: No Challenges in CFP Board Proceeding to Criminal Convictions, Professional Discipline, or Civil Liability

Posted on July 28th, 2020 at 2:49 PM
CFP Board Enforcement Process: No Challenges in CFP Board Proceeding to Criminal Convictions, Professional Discipline, or Civil Liability

This is the sixth of several posts detailing the CFP Board enforcement process.  This post will focus on the rules regarding records which a Respondent cannot challenge in a CFP Board proceeding.

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CFP Board Compares its Standard of Conduct to the SEC’s Reg B-I

Posted on July 23rd, 2020 at 4:06 PM
CFP Board Compares its Standard of Conduct to the SEC’s Reg B-I

This is the first of several posts discussing the similarities and differences of the SEC’s Regulation Best Interest and the CFP Board’s Code of Ethics and Standards of Conduct.

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CFP Board Enforcement Process: Default; Suspension, Revocation, or Bar

Posted on July 13th, 2020 at 3:52 PM
CFP Board Enforcement Process: Default; Suspension, Revocation, or Bar

This is the fourth of several posts detailing the CFP Board enforcement process.  This post will focus on what happens in the event a respondent is found to be in default.    

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CFP Board Enforcement Process: Complaint and Answer

Posted on July 6th, 2020 at 4:18 PM
CFP Board Enforcement Process: Complaint and Answer

This is the third of several posts detailing the CFP Board enforcement process.  This post will focus on one potential outcome of a CFP Board investigation: a complaint filed by the CFP Board Counsel.  

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CFP Board Enforcement Process: Interim Suspensions

Posted on June 29th, 2020 at 3:48 PM
CFP Board Enforcement Process: Interim Suspensions

This is the second of several posts detailing the CFP Board enforcement process.  The first post detailed the CFP Board’s investigation process.  This post will focus on one potential outcome of a CFP Board investigation: an interim suspension.  

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