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Articles tagged "CFP Board of Standards"


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Max Schatzow: 'Many consulting firms have partnerships with the big custodians.'

Five RIA Doubletakes: An RIA-only law firm breaks away • Kitces launches picker of 'best of breed' RIA software bundles • Vanguard targets 2070 just as media targets TDFs • SEC fishing for RegBI Scofflaws, including RIAs • CFP appoints first African-American chair

RIA Lawyers will reject RIA custodians• Kitces Nascar montage is now interactive and helpful • Vanguard's super long TDF draws critics• SEC supply lines are stretched with new battle front • Kamila Elliot is ex-DFA, diverse and calling CFP shots

January 12, 2022 at 3:13 AM

Ron Rhoades says that when brokerage associations (i.e. FSI and SIFMA) and broker-dealers, like Morgan Stanley, offer threatening boycott comments in symphony, that they may very well break the law.

Broker-dealers' new power tactic -- threatening to quit states altogether -- to thwart local fiduciary rules for advisors sure looks like blatant misuse of power

SIFMA, FSI and Morgan Stanley made overt threats to Nevada and New Jersey and CFP Board that have more than a whiff of conspiracy to restrain trade

June 18, 2019 at 10:58 PM

Lauren Schadle: We need to go back to our roots with a laser-like focus for why FPA was created in the first place -- and that is to support the CFP professional.

Lauren Schadle shows mettle as FPA stakes out turf in skirmish with CFP Board at its national conference in Orlando

Despite a no-show Phyllis Borzi, the FPA Experience was a substance-filled event in which the organization sought to redefine and reclaim its soul

October 22, 2013 at 5:00 PM

Young bull in training: I simply can't stand to see Merrill's training program so naively misrepresented.

A Merrill Lynch trainee shares what it's really like to be part of the firm's revamped, more RIA-like training program

Following a scathing condemnation of the program in reaction to a recent story, another trainee chimes in with a more three-dimensional report

December 13, 2012 at 8:15 PM

Charles Goldman: We've barely scratched the surface of our networks.

Advizent hits $100-billion asset target in a matter of weeks triggering hires

The RIA grand brand and co-op gains momentum as Charles Goldman goes all-in

June 4, 2012 at 5:23 AM

Ron Rhoades: Public policy concerns may well influence the outcome of the Wealthcare vs. UBS litigation.

Legal analysis: The chances that Wealthcare beats UBS or upends the financial planning community

The patent lawsuit could have real consequences for financial advisors

August 11, 2011 at 3:01 PM

If an army of bankers, brokers, accountants, insurance agents, and advisors can't bring your finances together, perhaps you need a general.

In a world of Schwab and Merrill, can the CFP Board use $36 million of ads to make planning sexy?

Goal is for consumers to see CFP mark as a Good Housekeeping seal of approval

April 15, 2011 at 2:56 PM

Alex Potts, CEO of Loring Ward: "To throw more bureaucracy at a system that has been working well ... it almost makes you cringe."

Six things to know about this week's big DC news

RIAs have the winning business model, but also more competition

January 21, 2011 at 2:37 PM

Speaker of the House Nancy Pelosi and House Minority Leader John Boehner

Signed, sealed, delivered: Fiduciary advocates hope SEC takes their new survey for gospel

In pressure cooker of Washington, D.C., nothing looks certain, especially after Tea Party wins

September 16, 2010 at 2:21 AM

The CFP Board of Standards is co-sponsoring a conference to bring top academics, industry thinkers in front of regulators. Kevin Keller, CEO, says advocacy groups can't afford to take a break now.

How a surprising array of advisor groups aims to catch the SEC's ear

A conference of experts from academia, industry will examine how the fiduciary standard could work in a brokerage business

September 13, 2010 at 4:42 AM

Kristina Fausti: We've entered a new regulatory era that calls for greater transparency and accountability.

How financial reform gives the SEC new bite; plus at least five other things advisors ought to know about the legislation

The new financial world will be constructed mostly out of the public eye, as regulators begin studying 150 issues Congress punted to agencies

July 26, 2010 at 3:36 AM

Elizabeth MacBride on how a small group of advocates for advisors and the fiduciary standard influence the debate this year in Washington, D.C.

What went right: the story of the fiduciary standard this year

A long-odds fight by advocates and a well-timed Goldman Sachs stumble and -- voilà -- brokers may have to begin putting customers' interests first

June 28, 2010 at 7:29 AM

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