Close Close
Popular Financial Topics Discover relevant content from across the suite of ALM legal publications From the Industry More content from ThinkAdvisor and select sponsors Investment Advisor Issue Gallery Read digital editions of Investment Advisor Magazine Tax Facts Get clear, current, and reliable answers to pressing tax questions
Luminaries Awards

Financial Planning > Behavioral Finance

CFP Board Proposes Revisions on Ethics Commission

Your article was successfully shared with the contacts you provided.

The Certified Financial Planner Board of Standards released January 2 proposed revisions to its Disciplinary Rules and Procedures that it says outline the duties of the Disciplinary and Ethics Commission (DEC), and how those duties relate to those of the CFP Board’s directors, its CEO, and the Board’s legal counsel. The CFP Board set a 30-day period, until February 2, 2009, to receive public comment on the proposed revisions to Article 2 of the Disciplinary Rules, which the Board said would align the Rules with changes the Board made in February 2008 “regarding oversight of the Commission,” which was formerly known as the Board of Professional Review.

The Board noted in a release January 2 that revisions to the Rules do not require public comment, but that a Board-appointed task force recommended that the proposed revisions be released for the 30-day comment period.

To view a side-by-side comparison of the proposed revisions and the current rules, click here; to view the revisions and submit comments, click here.


© 2024 ALM Global, LLC, All Rights Reserved. Request academic re-use from All other uses, submit a request to [email protected]. For more information visit Asset & Logo Licensing.