More On Legal & Compliancefrom The Advisor's Professional Library
- The New and Improved Form ADV Whether an RIA is describing its investment strategy in advertisements or in the new Form ADV Part 2, it is important the firm articulates material risks faced by advisory clients and avoids language that might be construed as a guarantee.
- Agency and Principal Transactions In passing Section 206(3) of the Investment Advisers Act, Congress recognized that principal and agency transactions can be harmful to clients. Such transactions create the opportunity for RIAs to engage in self-dealing.
Kevin Keller, CFP Board's CEO, said in a statement that hiring Crowder "builds [CFP Board's] capacity to communicate the value of working with a CFP professional. Tom Crowder's impressive consumer marketing credentials match-up perfectly with CFP Board's priorities. We are confident that he will advance the CFP certification brand as the recognized standard of excellence for personal financial planning."
In the release announcing Crowder's hiring, CFP Board says that the new managing director, marketing and business development position will help the CFP Board "enhance its mission and efforts to increase public awareness of the CFP certification brand through marketing initiatives and collaborative efforts with other organizations, including the major firms that hire or interact with CFP professionals." Crowder's core responsibilities, CFP Board says, "will be to increase the public's awareness of, preference for and use of CFP certificants, and growing the number of CFP professionals available nationwide to meet increased public demand."
Read a story about the Financial Planning Coalition's progress from the archives of InvestmentAdvisor.com.