Advisers Eyeing CFP[(R) certification] Will Have to Turn Over Customer Complaint Info

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Advisers Eyeing CFP[(R) certification] Will Have to Turn Over Customer Complaint Info

Apr 19, 2011
SEC decision should pave the way for stronger enforcement actions by CFP Board

Investment advisers and broker dealers who are applying to become CERTIFIED FINANCIAL PLANNNER[™ professionals] or renew their certification now will have to turn over information related to customer complaints.

"We believe this guidance from SEC staff will help candidates become certified more quickly while also resulting in stronger enforcement actions, as now there is no longer a reason for firms to object to sharing customer complaint information with the CFP Board," CFP Board chief executive Kevin Keller said in a statement. Read more >

Investment News
Mark Schoeff Jr.
April 19, 2011

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