CFP Board appreciates the efforts of all firms that support CFP® certificants, and we value opportunities to hold discussions with representatives of firms that employ or contract with CFP® certificants.

Recent Events:

• Webinar: CFP Board's Ethical Standards – Firm Implementation Strategies, November 5, 2008
• Workshop: Developing Compliance Tools for CFP Board’s Revised Standards, November 20, 2008
• Annual Firm Meeting, December 5, 2008

Webinar: CFP Board's Ethical Standards – Firm Implementation Strategies

Wednesday, November 5, 2008, 1:00 to 3:00 p.m. (Eastern Time)
Recording available at https://www2.gotomeeting.com/register/389460289
Download the Presentation Slides (PDF file)

This Webinar focused on strategies that certificants and firm compliance officers have used to comply with CFP Board’s Standards of Professional Conduct and included an in-depth case study of a CFP® certificant providing services in a broker-dealer environment within a bank. Panelists for the Webinar included Marilyn Capelli Dimitroff, CFP®, Chair-Elect of the Board of Directors of CFP Board, and Alan Goldfarb, CFP®, a member of the Board of Directors. Michael P. Shaw, Esq., Managing Director for Professional Review and Legal, served as moderator.

Workshop: Developing Compliance Tools for CFP Board’s Revised Standards

Thursday, November, 20, 2008, 10:30 a.m. to 3:00 p.m. (Central Time)
Hyatt Regency O'Hare, Chicago, Illinois

This in-person workshop in Chicago, Illinois was designed for compliance officers of financial services firms that employ or contract with CFP® certificants. The workshop provided compliance staff with an opportunity to review and discuss effective implementation strategies that assist CFP® certificants in complying with CFP Board’s revised Standards of Professional Conduct. Insurance, broker-dealer and investment advisory business models were examined. Topics addressed included:

• Distinguishing between services that constitute "financial planning" and those that do not;
• Disclosing compensation and conflicts of interest;
• The timing of disclosures to clients; and
• Documents that satisfy the written agreement requirement for financial planning services.

Members of CFP Board's Board of Directors, Disciplinary and Ethics Commission and legal and professional review staff served as facilitators during the workshop, including:

• Marilyn Capelli-Dimitroff, CFP®, 2008 Chair-Elect of CFP Board's Board of Directors and Chair of the Ethics Task Force that helped develop the updated Standards
• Alan K. Goldfarb, CFP®, Member of CFP Board's Board of Directors and the Ethics Task Force that helped develop the updated Standards
• Dan Candura, CFP®, Member of CFP Board's Board of Directors and the Ethics Task Force that helped develop the updated Standards
• Jack Harmon, CFP®, 2008 Chair-Designee of CFP Board's Disciplinary and Ethics Commission
• Bill Moran, CFP®, Vice President of Financial Planning for Ameriprise Financial
• Kevin Keller, CFP Board's CEO
• Michael P. Shaw, Esq., CFP Board's Managing Director, Professional Review and Legal
• J. Barron Knight, Esq., CFP Board's Director, Professional Review

Friday, December 5, 2008, 8:30 a.m. to 3:30 p.m. (Eastern Time)
Westin City Center, Washington, DC

CFP Board’s annual Firm Meeting offered firm representatives the chance to hear about CFP Board’s current activities and to engage in productive dialogue with CFP Board’s leadership. This year’s meeting included a keynote presentation by Harvey L. Pitt, CEO of Kalorama Partners, LLC and former Chairman of the U.S. Securities and Exchange Commission, who shared thoughts on the current and future regulatory framework for the financial services industry, including the increasing awareness of the value of a fiduciary duty. The meeting also featured updates on the global growth of the CFP® certification from Noel Maye, CEO of the Financial Planning Standards Board, Ltd., which owns the CFP® certification marks outside the U.S., as well as an in-depth session with CFP Board’s executive staff focused on different aspects of CFP Board’s operations, including marketing and communications, certification and education, and CFP Board’s ethical standards and professional review activities. The 2008 Firm Meeting covered a wide range of topics and provided the chance to explore new ideas for ways CFP Board can work together with firms that support CFP® certificants.

If you have questions about the events listed above or would like to discuss opportunities for working with CFP Board, please contact CFP Board's Director of Professional Alliances, Patrick Cuddy, at 202-379-2254 or pcuddy@CFPBoard.org.

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