Tagged with "conflict of interest"

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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SEC Charges Genesis Capital LLC for Failing to Disclose Conflict of Interest

Posted on July 31st, 2019 at 5:17 PM
SEC Charges Genesis Capital LLC for Failing to Disclose Conflict of Interest

Earlier this month, the SEC ordered an investment adviser to pay over $250,000 in damages for failing to disclose a possible conflict of interest.

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