CFP® Board Invites Commentary On Its Proposed Sanctions For Policy Violators

Wednesday, May 02, 2012 11:12
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CFP® Board Invites Commentary On Its Proposed Sanctions For Policy Violators

Tags: CFP Board | questions | regulation

The CFP® Board is opening a forum for comment on its newly proposed disciplinary guidelines. These are the guidelines that propose public reprimand or possible revocation of CFP® certification for bankruptcies, breaches of fiduciary duty, violations of continuing educational requirements and other infractions.

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Those who wish to comment have until May 23 to do so. You can make your comments here and you can also read the full proposal from a link contained in the invitation for comment letter.
 
The CFP® Board reportedly does notify alleged violators in writing and offers them an opportunity to be heard. They may also seek legal counsel, present evidence and witnesses, and request an appeal on the Board's decision.

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