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CFP Board Wants Tougher Sanctions for Ethics, Conduct Violations

By Sam Del Rowe July 29, 2021 Financial Advisor IQ

CFP Board’s proposed changes to its disciplinary procedures would create tougher sanctions for ethics and conduct violations. The proposed changes would apply to the Board’s guidelines that govern CFP® professionals, who make up about 1 in 5 financial advisors.

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Financial Advisor IQ
Sam Del Rowe
July 29, 2021