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CFP Board Proposes Changes to Disciplinary Process
From ThinkAdvisor
Added on November 2018 in Form an RIA
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Summary: The Certified Financial Planner Board of Standards said Tuesday that it is seeking public comment on proposed changes to its disciplinary process.The proposed Procedural Rules, which will consolidate and replace CFP Board’s existing Disciplinary Rules and Procedures and Appeal Rules and Procedures, are designed “to improve” CFP Board’s enforcement function.
My Story Update | Nov 15 Early Ensemble Firm, Dallas-Fort Worth
From RIA Match
Added on November 2018 in Form an RIA
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Summary: Established Independent Team with Multiple Offices.
We’re looking for dynamic, like-minded advisors who share our client service philosophy and ethical standards. With more than $330 million in AUM, we are open to working with other advisors in a variety of situations including acquisitions, mergers, partial practice sales and acting as continuity partners. We are highly effective and thorough in our operations, provide state-of-the-art independent research, leading-edge technology and solid marketing that promotes branding and thought leadership. Our holistic client experience starts with a personalized roadmap applying our unique approach to planning and wealth management, and our investment recommendations are based upon our client’s needs, not ours
Best interest standard must come with fiduciary teeth: Borzi
From InvestmentNews
Added on November 2018 in Form an RIA
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Summary:A best interest standard for investment advice will only protect investors if it's rooted in a fiduciary obligation, the mother of the Department of Labor's fiduciary rule said Monday.
States Are Taking Up the Fiduciary Banner
From WealthManagement.com
Added on October 2018 in Form an RIA
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Summary: The push to broaden fiduciary protection for investors at the federal level is looking more and more like a lost cause, so states are starting to step into the void. And that’s prompting some disagreements among organizations that represent financial planners.
Advisor compliance in the age of the emoji
From Financial Planning
Added on October 2018 in Form an RIA
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Summary: In the past, advisors met their clients in person, made a phone call or maybe sent an email, but now clients and brokers can communicate anytime across a far wider variety of mediums. Text messages, Facebook, WhatsApp, Twitter, Skype, WeChat, Instagram: All these channels can be used to conduct business. They can also be used for other nefarious activities, presenting financial services companies with the daunting task of ensuring that all staff interactions meet compliance obligations.
