CFP Board Seeks to Impose 'Strengthened' Fiduciary Standard on All Advice
Proposal out for a 60-day comment period; Kitces wonders if board is prepared to enforce and discipline those not in compliance.
CFP Board, FPA agree on likely timetable for DOL fiduciary rule
The final DOL fiduciary rule, regardless of its exact shape, will likely be implemented next year, says Marilyn Mohrman-Gillis of the CFP Board.
Judge Dismisses Camardas’ Case Against CFP Board
The Board is pleased that the case was dismissed based on “deficient legal claims without the need for a trial,” stated CFP Board's Mohrman-Gillis.
New Hire Roundup: Horan Goes to Chilton, Pan Moves Up at SEC, CFP Board Gains Myers
This week in new hires, Timothy Horan moved to Chilton Private Clients, with a team of four; Eric Pan joined the SEC; Roger C. Myers, Jr. was named CFO at the CFP Board; and Neuberger Berman added four new wholesalers.
Planners Beware: More Probes by CFP Board; Reg S-P Victory Gives It More Teeth—Compliance Watch
CFP Board enforcement chief Shaw says 1,500 investigations launched in 2010; bankruptcies new focus.