Certified Financial Planner Board of Standards Inc.

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Each year CFP Board holds a Firm Meeting with representatives of financial service firms that employ or contract with CFP® certificants. This interaction provides firm representatives with insights into the CFP® certification process and furthers CFP Board's ongoing efforts to assess the requirements for CFP® certification to make sure they are set in a way that protects the public.

Team up with CFP Board and plan to attend the 2009 Firm Meeting on Friday, December 4, 2009 from 9:00 a.m. - 4:00 p.m. at the Westin New York at Times Square, New York City.

This year’s meeting will focus on compliance issues facing today’s firms, including updates on CFP Board’s work with firms to implement the Standards of Professional Conduct and the fiduciary standard for financial planning services. The meeting will feature a keynote speaker, as well as sessions by CFP Board’s senior staff on the latest developments in CFP Board’s education standards, professional review process and public policy activities. This year's meeting also offers opportunities to continue our work with firm representatives to evaluate current services and explore new ideas for ways CFP Board can more effectively support your firm and the CFP® certificants working within your organization.

Who Should Attend

The agenda for the 2009 meeting is designed for the following audiences:

Heads of Financial Planning Departments
Marketing Executives
Training Executives
Compliance Officers

Please invite your colleagues in these areas to register for this meeting.

We look forward to seeing you in New York City!

Bookmark this page and check back with us over the next few weeks for updates.

Friday, December 4

9:00 a.m. - 9:30 a.m.	Continental Breakfast

9:30 a.m. - 10:00 a.m.	Welcome and CFP Board Updates
	Marilyn Capelli Dimitroff, CFP® 2009 Chair, CFP Board's Board of Directors Kevin Keller, CAE CEO, CFP Board

10:00 a.m. - 11:00 a.m.	CFP Board's Annual Certificant & Consumer Survey Results: The Future Value of CFP® Certification

	This presentation will share findings from CFP Board’s latest consumer and certificant surveys, providing current information about the public’s need for financial planning services, how the financial planning profession and CFP® certification are perceived by the public, and the value CFP® certification has added to the professional development of practicing financial planners.

	Philip G. Kuehl, Ph.D. Westat, Inc.

11:00 a.m. - 11:15 a.m.	Break

11:15 a.m. - 12:15 p.m.	Understanding The Fiduciary Duty of Financial Advisers

	This session will give you insight in the current debate on the fiduciary standard of care for all investment advice. Industry experts from all sides of the debate will share their experience, knowledge and ideas!

	David T. Bellaire, Esq. General Counsel & Director of Government Affairs, Financial Services Institute

	Robert L.D. Colby Counsel, Davis Polk & Wardwell LLP

	Ron A. Rhoades, J.D., CFP® Counsel, Davis Polk & Wardwell LLP

	Marilyn Mohrman-Gillis Managing Director, Public Policy, CFP Board

12:15 p.m. - 1:30 p.m.	Lunch

1:30 p.m. - 2:30 p.m.	CFP Board’s Ethical Standards - An Analysis of Their Application

	Early in 2009, CFP Board formed a working group of 22 senior executives, compliance officers and heads of financial planning departments at broker-dealers, registered investment advisors, insurance companies and banks. The objective of the working group was to discuss the challenges faced by firms in applying CFP Board’s Standards of Professional Conduct to each firm’s business model and the regulatory environment in which the firms operate. The working group tackled such issues as whether a written agreement and disclosures of compensation and conflict of interest are required if the CFP® certificant prepares a financial plan for a client but has limited or no contact with the client. Other issues discussed relate to supervision requirements, the need for guidance on CFP Board’s definition of financial planning, and the need for clarity around the application of the fiduciary standard to the sale of financial products. Over the course of three working group meetings, interpretive guidance on the Standards was drafted to address the issues raised. This guidance will be presented by four members of the working group during CFP Board’s Firm Meeting.

	Christine S. Fahlund, Ph.D., CFP® Vice President and Senior Financial Planner, T. Rowe Price Investment Services, Inc.

	Grace C. Fuller Director, Investment Adviser Compliance – Legal Affairs, MetLife Financial Services

	Deborah L. O'Neil, CFP® Vice President, AXA Advanced Markets

	Robert M. Rosh Vice President & Associate General Counsel

	Michael P. Shaw, Esq. Managing Director, Professional Review and Legal, CFP Board

2:30 p.m. - 3:00 p.m.	Closing Remarks
	Robert J. Glovsky, CFP® 2010 Chair-Elect, Board of Directors Kevin Keller, CAE CEO, CFP Board

Registration is FREE! Click here to register today!

Hotel Accommodations:

Firm meeting attendees are responsible for their own lodging and transportation arrangements.

Location:

The Westin at Times Square is located at 43rd Street and 8th Avenue, in the heart of the Broadway District. The hotel provides easy access to the city’s subway system and is within blocks of Penn Station and Grand Central Station.

The Westin at Times Square
270 West 43rd Street at Eighth Avenue
New York, NY 10036
1-888-201-0271

If you have questions about CFP Board's 2009 Firm Meeting, please contact us at 508-759-8180 or events@CFPBoard.org