Displaying 311 results
House Democrats call on SEC to strengthen Regulation Best Interest
At subcommittee hearing Thursday, congress members express concerns about investor protection under agency's advice reform proposal.
CFP Board chief executive Kevin Keller joins $1 million compensation ranks
Other seven-figure earners include top executives at ICI, SIFMA.
New CFP Board ads feature lesbian couple
The board is trying to attract a more diverse clientele to CFPs
Should CFP Board require technology training? Advisers seem to think so
In a new study from T3, 85% of advisers say technology should be a part of continuing education requirements.
CFP Board proposes to lessen stigma for one-time infractions
Potential changes to disciplinary process follow revision of code of ethics, conduct standards.
SEC tests show investors don’t understand disclosure form for brokers, advisers
Investor advocates: Agency still has a lot of work to do on Form CRS
Art wealth management course comes with CE credits from CFP Board
The program is an introduction to the art market from an investment perspective.
Ask the Ethicist: Should a CFP file an ethics complaint about an insurance commission?
Two planners had a role in arranging a business owner's insurance policy, and one is not happy with how the compensation was handled.
FPA splits with CFP Board over state regulation of financial planners
FPA seeks policy influence at state, federal levels; CFP Board thinks states should not get involved, and NAPFA agrees.
CFP Board opposes state regulation of financial planning process
'Interstate profession' should be overseen at federal level, chairman says.
The public can be better served without state regulation of planners
Cost and interest are two reasons behind this stance, but there's more to it.
Disclosures in SEC advice rule confuse, mislead investors, advocacy groups say
Testing by Financial Planning Coalition, Consumer Federation of America and AARP uncovers problems.
CFP Board to launch new round of ads to build public awareness of designation
Campaign budget of $11.7 million based on $145 assessment per CFP certificant
CFP Board encrypting digital certificates with blockchain technology
Encryption using blockchain technology coming later this year.
Adviser compensation involves a conflict that can be managed — but not avoided
The CFP Board's revised standards reinforce its requirements limiting the use of the term "fee-only" to situations in which fees are the sole method of compensation.
Missouri lawmaker says don’t worry, law won’t curb use of CFP designation
CFP Board, FSI oppose new law prohibiting use of terms "certification" or "registration" for credentials not approved by state.
NFL wants advisers to have CFP or CFA designation to work with players
Players union is giving financial advisers two years to meet new guidelines to qualify for approved list.
SEC advice rule: Industry, investor advocates split
At SEC meeting, both sides say agency must better define what 'best interests' means.
TV show paints bleak picture of financial planners
The lead character in the series 'Ozark' is reinforcing Americans' negative view of advisers.
CFP Board takes on racial, ethnic diversity
CFP research report shows nonwhites don't feel welcomed by the financial planning profession.
