/PRNewswire/ Certified Financial Planner Board of Standards, Inc. (CFP Board) will administer the first CFP® exam of 2021 from March 9-16, 2021. A remote.
CFP Board Forms New Commission to Review Sanction Guidelines and Fitness Standards
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WASHINGTON, Feb. 1, 2021 /PRNewswire/ Certified Financial Planner Board of Standards, Inc. (CFP Board) announced today that it has formed a new 15-member Commission on Sanctions and Fitness. This new Commission will review and recommend changes to CFP Board s
Sanction Guidelines and
Fitness Standards ).
Code of Ethics and Standards of Conduct. The
Fitness Standards apply to those seeking CFP
® certification, while the
Sanction Guidelines apply to those who are certified. This new commission is fundamental to CFP Board s ongoing work to strengthen the enforcement processes for our
Thursday, January 28, 2021
Key Points
Beginning February 1, new and amended rules will go into effect in New York that require certain individuals associated with investment advisers to register with the state and to meet examination requirements (or qualify for exemptions therefrom).
With respect to investment advisers registered with the Securities and Exchange Commission (SEC), these new registration and examination requirements will only apply to individuals who meet the federal definition of an investment adviser representative, while a broader range of persons associated with New York State-registered investment advisers will be subject to those requirements.
In addition, New York will now impose registration and examination requirements with respect to entities and individuals that qualify as solicitors, as defined in the state s revised rules.