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The Emerging Best Interest and Fiduciary Duty Patchwork: CFP Board's New Standard of Conduct (PDF)
Eversheds Sutherland via JDSupra 
Aug. 22, 2019 "While broker-dealer and investment adviser firms are not themselves CFPs, such firms frequently permit, and in some cases encourage and even financially support, their registered representatives and supervised persons to obtain the CFP designation. As a result, the CFP Board's new standards have caused many broker-dealers and investment advisers to consider how this CFP fiduciary standard fits within their existing supervisory framework, and whether any action by the firm is called for." MORE >> |
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