CFP Board Discusses How New Sanction Guidelines Affect Advisors

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CFP Board Discusses How New Sanction Guidelines Affect Advisors

Aug 16, 2012

New sanction guidelines set to take effect on Aug. 27 were the topic of a CFP Board webinar Tuesday, during which speakers offered examples of their application and attendees discussed their effects on planners.

The webinar was presented by Christopher Beard, chairman of the 2012 disciplinary and ethics commission (DEC), which is in charge of sanctioning certified financial planners; Michael Shaw, managing director of professional standards and legal for the Certified Financial Planner Board of Standards; and Adam Zajac, CFP Board's adjudicatory counsel. During the presentation, the guidelines were presented as a means of ensuring "consistency, fairness and transparency in the disciplinary aspect of CFP Board's mission." Read more >

Marlene Y. Satter
August 16, 2012

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