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28937 – Anonymous Case History
Decision: Private Censure
Keyword(s): Securities Laws Violation
Standard(s) Violated: Article 4.4; 4.3
Matter Type(s): SEC Discipline
Decision Date: 12/04/2015
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he, as a director of a registered investment company, approved advisory contracts for the investment company without having all the information he requested as reasonably necessary to evaluate the contracts, in violation of Section 15(c) of the Investment Company Act.

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