CFP Board's Keller Says New 'Top Cop' Will Beef Up Investigations

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CFP Board's Keller Says New 'Top Cop' Will Beef Up Investigations

Mar 23, 2012

Kevin Keller, CEO of CFP Board, told AdvisorOne that the Board's new director of investigations named March 15 would help police the growing number of CFP[® professionals]. Rex Staples, the former general counsel for the North American Securities Administrators Association (NASAA), will start his new post as "top cop" on April 9, and will head a nine-person team to monitor and enforce compliance with the CFP Board's Standards of Professional [Conduct]....

Keller said the decision to create the new post and appoint Staples is not due to an increase in the number of compliance cases handled by the organization, but rather, said Keller, "to build our capacity to achieve our mission of benefiting the public." Read more >

Marlene Y. Satter
March 23, 2012

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