CFP Board Announces Chair Appointments To Disciplinary And Ethics Commission, Advisory Councils Hot

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 In early November, three members of the Disciplinary and Ethics Commissions resigned after an independent investigation into marketing disclosures led to the resignation of the chairman of CFP Board, Alan Goldfarb.
 
CFP Board is struggling to come to grips with the fact that many CFPs are affiliated with broker/dealers and, thus, run into complicated consumer discolusre rules imposed by CFP Board on registered reps acting as fiduciaries. So these appointments could be important as regulatory rules governing RIAs are being expected to be considered this year by Congress and the Obama Administration.
 

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