1 2 3 4 5 Next Page 1 of 11 , 253 Items in Total
Department of Labor Proposal on Definition of “Fiduciary”
https://www.cfp.net/news-events/announcements/2011/02/01/department-of-labor-proposal-on-definition-of-fiduciary-

... “fiduciary.” CFP Board commended the agency for taking steps to enhance protections for plan participants and beneficiaries, expressing support for adoption of the Department’s proposal, and stating CFP Board’s belief that fiduciary status is appropriate for investment professionals ...

Uniform Fiduciary Duty for Broker-Dealers and Investment Advisers
https://www.cfp.net/news-events/announcements/2012/03/28/uniform-fiduciary-duty-for-broker-dealers-and-investment-advisers

... of the fiduciary duty would force brokers to abandon their commission-based compensation models and their transaction-based recommendations. They noted that the fiduciary duty is sufficiently flexible to be applied, consistent with Section 913 of the Dodd-Frank Wall Street Reform and Consumer Protection ...

Investors Support Fiduciary Standard, Study Says
https://www.cfp.net/news-events/announcements/2010/09/15/investors-support-fiduciary-standard-study-says

... “Fiduciary Standard” for financial professionals. The survey, which makes a compelling case for imposing the Investment Advisers Act fiduciary duty on all those who give personalized investment advice about securities to retail investors, was presented to the SEC for consideration as the ...

Recorded Webinar: "The DOL Fiduciary Rule: What are the Practical Implications?"
https://www.cfp.net/news-events/announcements/2016/07/25/recorded-webinar-the-dol-fiduciary-rule-what-are-the-practical-implications

... “fiduciary investment advice” under ERISA. In this recorded webinar, ERISA expert Tom Clark, Of Counsel at the Wagner Group, provides a brief review of the DOL rule and address the most frequent recurring questions the Coalition has received from stakeholders, including: The application ...

CFP Board Urges House Committee to Enact Fiduciary Standard of Care
https://www.cfp.net/news-events/announcements/2009/10/26/cfp-board-urges-house-committee-to-enact-fiduciary-standard-of-care

... Advisers Act fiduciary duty.” This group followed up with the Committee on November 2, 2009, sending a letter affirming the need for a strong, universal fiduciary duty for investment advice and expressing concerns over the degree to which that goal is threatened by changes made to date during the ...

Financial Planning Coalition Urges Congress to Protect Investors by Changing Fiduciary Standard Provision
https://www.cfp.net/news-events/announcements/2010/06/23/financial-planning-coalition-urges-congress-to-protect-investors-by-changing-fiduciary-standard-provision

... same fiduciary obligations as investment advisers and which would preempt the SEC’s authority to regulate equity indexed annuities. The Coalition urged the conferees to make critical changes to the fiduciary standard provision to protect investors. Read the Coalition’s letter (PDF, 44KB)...

CFP Board Calls on Congress to Require Broker-Dealers to Meet Fiduciary Standard for Investment Advisers
https://www.cfp.net/news-events/announcements/2010/06/14/cfp-board-calls-on-congress-to-require-broker-dealers-to-meet-fiduciary-standard-for-investment-advisers

... same fiduciary standard as investment advisers. This would provide critical protections to Main Street investors. In a letter to the conferees, the group stated: "Financial regulatory reform presents an historic opportunity to improve investor protection for Americans and restore confidence in the ...

Financial Planning Coalition Urges Congress to Support SEC in Establishing Fiduciary Standard of Conduct
https://www.cfp.net/news-events/announcements/2011/09/13/financial-planning-coalition-urges-congress-to-support-sec-in-establishing-fiduciary-standard-of-conduct

... uniform fiduciary standard of conduct for broker-dealers and investment advisers. Read the Coalition’s statement (PDF, 95KB)...

Financial Planning Coalition Asks that SEC Extend Fiduciary Standard of Care to Broker-Dealers
https://www.cfp.net/news-events/announcements/2010/08/30/financial-planning-coalition-asks-that-sec-extend-fiduciary-standard-of-care-to-broker-dealers

... that the fiduciary standard of care—a key investor protection for all Americans who are investing for college, retirement and other needs—be extended to broker-dealers and other financial professionals who provide personalized investment advice to retail customers. Read the Coalition’s ...

April 18, 2016
https://www.cfp.net/news-events/newsletters/cfp-board-report/april-18-2016

... "fiduciary investment advice” under the Employee Retirement Income Security Act of 1974 (ERISA). As you may know, the Coalition has been active in support of the DOL fiduciary rulemaking – seeking a final rule that both protected retirement investors and could be ...

New Brochure Highlights Key Elements of New Code and Standards
https://www.cfp.net/news-events/announcements/2018/09/24/new-brochure-highlights-key-elements-of-new-code-and-standards

... as a fiduciary, and therefore, act in the best interests of the client at all times when providing financial advice; Requirements related to avoiding, disclosing and managing conflicts of interest; Updates to the financial planning process and Practice Standards; Requirements for providing information ...

Technical Revisions and Answers to Frequently Asked Questions for New Code of Ethics and Standards of Conduct
https://www.cfp.net/news-events/announcements/2018/11/27/technical-revisions-and-answers-to-frequently-asked-questions-for-new-code-of-ethics-and-standards-of-conduct

... Board’s new fiduciary duty; The definitions of Financial Planning, Financial Advice, and other terms; The changes to the Financial Planning process; Why there are now seven steps in the Financial Planning process; The circumstances in which a CFP® professional is required to comply with the practice ...

Financial Planning Coalition Letter to Congress Calls for Regulatory Reform Legislation
https://www.cfp.net/news-events/announcements/2010/06/23/financial-planning-coalition-letter-to-congress-calls-for-regulatory-reform-legislation

... same fiduciary obligations as investment advisers and which would preempt the SEC’s authority to regulate equity indexed annuities. The Coalition urged the conferees to make critical changes to the fiduciary standard provision to protect investors. Read the Coalition’s letter (PDF, 44KB)...

CFP Board Expresses Concern Over Investor Advisory Committee Press Release
https://www.cfp.net/news-events/announcements/2009/08/06/cfp-board-expresses-concern-over-investor-advisory-committee-press-release

... that the fiduciary duty must be susceptible to “definition” in order to provide a workable standard. “Instead of trying to define fiduciary duty, we urge the Committee instead to consider a recommendation to clearly and unambiguously extend the fiduciary duty that investment advisors ...

CFP Board Expresses Concerns About Investor Protection Act
https://www.cfp.net/news-events/announcements/2009/07/14/cfp-board-expresses-concerns-about-investor-protection-act

... overarching fiduciary duty that investment advisers owe their clients under the Advisers Act to brokers and others who provide investment advice, that this fiduciary duty is explicitly recognized in law, and that the legislation does not in any way undermine the fiduciary duty that already exists under the ...

CFP Board Urges SEC to Develop Improved Disclosure Requirements
https://www.cfp.net/news-events/announcements/2012/03/23/cfp-board-urges-sec-to-develop-improved-disclosure-requirements

... uniform fiduciary standard of conduct. Read CFP Board’s letter (PDF, 160KB)...

CFP Board Calls for Restoration of Financial Stability Act
https://www.cfp.net/news-events/announcements/2010/05/18/cfp-board-calls-for-restoration-of-financial-stability-act

... same fiduciary duty as investment advisers. In the letter, the groups also expressed opposition to another amendment that fails to deliver on the promise of fiduciary protections. Read the letter to the Senate (PDF, 81KB)...

Joint Letter Expresses Support for Investor Protection Provision in Regulator Reform Bill
https://www.cfp.net/news-events/announcements/2010/01/07/joint-letter-expresses-support-for-investor-protection-provision-in-regulator-reform-bill

... Advisers Act fiduciary duty. The joint letter was accompanied by a “myths-facts” sheet that rebuts arguments and misinformation about the Senate regulatory reform bill’s fiduciary requirement for investment advice. Read the letter (PDF, 103KB) View the myths-fact sheet (PDF, 115KB)...

Financial Planning Coalition Letter to SEC Addresses Impact of Applying Advisers Act to Brokerage Activity
https://www.cfp.net/news-events/announcements/2010/11/30/financial-planning-coalition-letter-to-sec-addresses-impact-of-applying-advisers-act-to-brokerage-activity

... uniform fiduciary standard for both broker-dealers and investment advisers when making personalized recommendations to retail customers. Read the Coalition’s letter (PDF, 79KB)...

Review a Side-by-Side Comparison of the proposed revisions to the Standards of Professional Conduct to the current Standards
https://www.cfp.net/news-events/announcements/2017/07/26/review-a-side-by-side-comparison-of-the-proposed-revisions-to-the-standards-of-professional-conduct-to-the-current-standards

... of the fiduciary standard for CFP® professionals – effectively requiring CFP® professionals to put a client’s interest first at all times – and enhancing and updating standards related to financial planning. CFP Board has requested comments on proposed revisions to its Standards ...

CFP Board Opposes Efforts to Preempt SEC Authority over Equity Indexed Annuities
https://www.cfp.net/news-events/announcements/2010/06/17/cfp-board-opposes-efforts-to-preempt-sec-authority-over-equity-indexed-annuities

... same fiduciary obligations as investment advisers and which would preempt the SEC’s authority to regulate equity indexed annuities. The Coalition urged the conferees to make critical changes to the fiduciary standard provision to protect investors....

DOL Proposed Class Exemption
https://www.cfp.net/news-events/announcements/2008/10/06/dol-proposed-class-exemption

... by a fiduciary adviser (or any employee, agent, registered representative, or affiliate thereof) to a participant or beneficiary in an individual account plan or individual retirement accounts (and certain similar plans). In its letter, CFP Board supported the DOL’s proposal to exempt from ...

CFP Board Advertisement in The Wall Street Journal
https://www.cfp.net/news-events/announcements/2017/12/22/cfp-board-advertisement-in-em-the-wall-street-journal-em

... of the fiduciary standards for CFP® professionals and requiring them to put a client’s best interest first at all times.” The ad complements the work of our Public Awareness Campaign to raise awareness of CFP® professionals and highlights the central role that ethics and ...

View Now: July 2016 Business Update Webinar Recording
https://www.cfp.net/news-events/announcements/2016/07/20/view-now-july-2016-business-update-webinar-recording

... DOL’s Fiduciary Rulemaking CFP Board’s Commission on Standards CFP Board’s Center for Financial Planning Answers to Questions from the Audience View the Recorded Webinar During this webinar, hosted by Thomas L. Howard, CFP®, panelists Mike Greene, CFP®, 2016 Chair of CFP Board’s ...

1 2 3 4 5 Next Page 1 of 11 , 253 Items in Total