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CFP Board Disciplinary Trends 5/26/2011

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Uploaded on Jun 8, 2011

This Webinar addresses trends in the types of conduct that have come under review by CFP Board's Disciplinary and Ethics Commission (DEC), based on an analysis of CFP Board's Anonymous Case Histories from 2008 to 2010. Presented by Ed Mora, CFP®, 2011 DEC Chair, and Michael P. Shaw, CFP Board's Managing Director, Professional Standards & Legal, this Webinar includes details about CFP Board's disciplinary process, the sanctions imposed for specific types of conduct, and the high ethical standards CERTIFIED FINANCIAL PLANNER™ professionals are held to.

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